Kester Shing Joe Ng
吳繩祖
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kester Shing Joe Ng (吳繩祖), a licensed former licensee with CE reference ACD717. This person has 8.7 years of SFC licence history. Total licence records on file: 11.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| J.P. Morgan Securities (Far East) Limited | RO | Type 1 - Dealing in securities | 2007-09-20 | 2013-04-04 |
| J.P. Morgan Securities (Far East) Limited | RO | Type 4 - Advising on securities | 2007-09-20 | 2013-04-04 |
| J.P. Morgan Securities (Far East) Limited | RO | Type 6 - Advising on corporate finance | 2007-09-20 | 2013-04-04 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2005-05-19 | 2006-05-26 |
| Merrill Lynch Far East Limited | Rep | Type 4 - Advising on securities | 2005-05-19 | 2006-05-26 |
| Merrill Lynch Far East Limited | Rep | Type 6 - Advising on corporate finance | 2005-05-19 | 2006-05-26 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | Pre-2003 | 2006-05-26 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | Pre-2003 | 2006-05-26 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2006-05-26 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 7 - Providing automated trading services | Pre-2003 | 2005-03-23 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 9 - Asset management | Pre-2003 | 2005-01-25 |