Vivian Mei Kuen Ng
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Vivian Mei Kuen Ng (吳美娟), a licensed Responsible Officer with CE reference AEK109. Currently licensed at 1 firm(s): Theia Securities Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 20.4 years of SFC licence history. Total licence records on file: 16.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Theia Securities Limited 遠源證券有限公司 |
RO | Type 1 - Dealing in securities | 2026-09-16 | present |
| Theia Securities Limited 遠源證券有限公司 |
RO | Type 4 - Advising on securities | 2026-09-16 | present |
| Theia Securities Limited 遠源證券有限公司 |
RO | Type 9 - Asset management | 2026-09-16 | present |
| Mont Avenir Capital Limited 未來金融有限公司 |
RO | Type 1 - Dealing in securities | 2024-08-13 | 2024-12-03 |
| Forwin Futures Group Limited 富榮期貨集團有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2020-09-17 | 2023-12-04 |
| Forwin Securities Group Limited 富榮證券集團有限公司 |
RO | Type 1 - Dealing in securities | 2019-10-29 | 2024-05-31 |
| Forwin Capital Management Limited 富榮資產管理有限公司 |
RO | Type 4 - Advising on securities | 2019-10-29 | 2024-05-31 |
| Forwin Capital Management Limited 富榮資產管理有限公司 |
RO | Type 9 - Asset management | 2019-10-29 | 2024-05-31 |
| Sunfund Fund Management Limited 東皓基金管理有限公司 |
Rep | Type 9 - Asset management | 2018-04-13 | 2018-10-15 |
| Sunfund Securities Limited 東皓證券有限公司 |
RO | Type 1 - Dealing in securities | 2018-04-13 | 2018-11-26 |
| Sunfund Securities Limited 東皓證券有限公司 |
RO | Type 4 - Advising on securities | 2018-04-13 | 2018-11-26 |
| Kingston Securities Limited 金利豐證券有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2017-12-23 |
| Kingston Securities Limited 金利豐證券有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-08-23 |
| Kingston Securities Limited 金利豐證券有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-08-23 |
| Kingston Securities Limited 金利豐證券有限公司 |
Rep | Type 7 - Providing automated trading services | Pre-2003 | 2003-07-04 |
| Kingston Securities Limited 金利豐證券有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-08-23 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Vivian Mei Kuen Ng during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one.