Thomas Kwok Kan Ngai
危國根
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Thomas Kwok Kan Ngai (危國根), a licensed former licensee with CE reference ACP700. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CITIC Securities Asset Management (HK) Limited 中信證券資產管理(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2015-02-10 | 2017-06-30 |
| CITIC Securities Asset Management (HK) Limited 中信證券資產管理(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2013-11-04 | 2017-06-30 |
| CITIC Securities Asset Management (HK) Limited 中信證券資產管理(香港)有限公司 |
Rep | Type 9 - Asset management | 2013-11-04 | 2017-06-30 |
| HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2009-05-04 | 2012-04-03 |
| HSBC Securities (Asia) Limited | Rep | Type 1 - Dealing in securities | present | 2012-04-03 |
| HSBC Securities (Asia) Limited | Rep | Type 4 - Advising on securities | present | 2003-12-16 |
| HSBC Securities (Asia) Limited | Rep | Type 6 - Advising on corporate finance | present | 2003-12-16 |
| HSBC Securities (Asia) Limited | Rep | Type 9 - Asset management | present | 2003-12-16 |