Ki Wo
鄔奇
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ki Wo (鄔奇), a licensed Responsible Officer with CE reference AGW234. Currently licensed at 3 firm(s): HSBC Broking Securities (Asia) Limited, HSBC Broking Futures (Asia) Limited, HSBC Broking Forex (Asia) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts; Type 3 - Leveraged foreign exchange trading; Type 4 - Advising on securities. This person has 23.3 years of SFC licence history. Total licence records on file: 33.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
RO | Type 1 - Dealing in securities | 2026-08-03 | present |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
RO | Type 4 - Advising on securities | 2026-08-03 | present |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
RO | Type 2 - Dealing in futures contracts | 2014-07-29 | present |
| HSBC Broking Forex (Asia) Limited 滙豐金融外匯(亞洲)有限公司 |
RO | Type 3 - Leveraged foreign exchange trading | 2014-07-29 | present |
| HSBC Broking Securities (Hong Kong) Limited 滙豐金融證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2021-04-12 | 2026-08-02 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
RO | Type 4 - Advising on securities | 2017-11-21 | 2026-08-02 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 4 - Advising on securities | 2015-04-02 | 2017-11-21 |
| HSBC Broking Securities (Hong Kong) Limited 滙豐金融證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2014-07-29 | 2017-07-16 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
RO | Type 1 - Dealing in securities | 2014-07-29 | 2026-08-02 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2014-07-04 | 2014-07-29 |
| HSBC Broking Securities (Hong Kong) Limited 滙豐金融證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2014-07-04 | 2014-07-29 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2014-07-04 | 2014-07-29 |
| HSBC Broking Forex (Asia) Limited 滙豐金融外匯(亞洲)有限公司 |
Rep | Type 3 - Leveraged foreign exchange trading | 2014-07-04 | 2014-07-29 |
| CES Forex (HK) Limited 光證外匯（香港）有限公司 |
Rep | Type 3 - Leveraged foreign exchange trading | 2011-08-08 | 2014-06-12 |
| Everbright Securities Digital Finance (HK) Limited 光大證券數碼金融（香港）有限公司 |
RO | Type 1 - Dealing in securities | 2011-08-08 | 2014-06-12 |
| Bright Fund Management Limited 光明投資管理有限公司 |
Rep | Type 9 - Asset management | 2011-05-19 | 2014-06-12 |
| Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司 |
RO | Type 4 - Advising on securities | 2010-09-01 | 2014-06-12 |
| Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司 |
Rep | Type 4 - Advising on securities | 2005-07-28 | 2010-09-01 |
| Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司 |
RO | Type 1 - Dealing in securities | 2005-07-28 | 2014-06-12 |
| CES Commodities (HK) Limited 光證期貨（香港）有限公司 |
RO | Type 2 - Dealing in futures contracts | 2005-07-28 | 2014-06-12 |
| Bright Fund Management Limited 光明投資管理有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2005-07-28 |
| Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2005-07-28 |
| CES Commodities (HK) Limited 光證期貨（香港）有限公司 |
Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 2005-07-28 |
| Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2003-11-26 |
| Bright Fund Management Limited 光明投資管理有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2005-07-28 |
| CES Commodities (HK) Limited 光證期貨（香港）有限公司 |
Rep | Type 5 - Advising on futures contracts | Pre-2003 | 2003-11-26 |
| Bright Fund Management Limited 光明投資管理有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2003-11-26 |
| Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2003-11-26 |
| Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司 |
Rep | Type 7 - Providing automated trading services | Pre-2003 | 2003-07-07 |
| Bright Fund Management Limited 光明投資管理有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2003-11-26 |
| CES Commodities (HK) Limited 光證期貨（香港）有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2003-11-26 |
| Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2003-11-26 |
| Sun Tai Cheung Credits Limited 新泰昌授信有限公司 |
RO | Type 8 - Securities margin financing | Pre-2003 | 2004-10-21 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Ki Wo 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. See the detailed formula.