Wai Man (SFC:ACT918) Ng
吳偉民
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wai Man (SFC:ACT918) Ng (吳偉民), CE reference ACT918. Currently licensed at 1 firm(s): UCAP Securities (HK) Limited. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UCAP Securities (HK) Limited 佑聯證券有限公司 |
RO | Type 1 — Dealing in securities | 2021-09-27 | present |
| UCAP Securities (HK) Limited 佑聯證券有限公司 |
RO | Type 4 — Advising on securities | 2021-09-27 | present |
| UCAP Securities (HK) Limited 佑聯證券有限公司 |
RO | Type 9 — Asset management | 2021-09-27 | present |
| UCAP Securities (HK) Limited 佑聯證券有限公司 |
Rep | Type 4 — Advising on securities | 2021-05-14 | 2021-09-27 |
| UCAP Securities (HK) Limited 佑聯證券有限公司 |
Rep | Type 9 — Asset management | 2021-05-14 | 2021-09-27 |
| Axiom Investment Management Limited 明懿資產管理有限公司 |
RO | Type 4 — Advising on securities | 2020-12-17 | 2021-03-17 |
| Axiom Investment Management Limited 明懿資產管理有限公司 |
RO | Type 9 — Asset management | 2020-12-17 | 2021-03-17 |
| Axiom Investment Management Limited 明懿資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2020-07-21 | 2020-12-17 |
| Axiom Investment Management Limited 明懿資產管理有限公司 |
Rep | Type 9 — Asset management | 2020-07-21 | 2020-12-17 |