Warren Brian Ka Hei Ng
吳嘉羲
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Warren Brian Ka Hei Ng (吳嘉羲), CE reference AVN286. Currently licensed at 2 firm(s): BOCI Asia Limited, BOCI Securities Limited. Total licence records on file: 21.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| BOCI Asia Limited 中銀國際亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2025-08-18 | present |
| BOCI Securities Limited 中銀國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2025-08-18 | present |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | 2025-08-18 | present |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2025-07-02 | 2025-08-18 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2025-07-02 | 2025-08-18 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2025-07-02 | 2025-08-18 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2021-07-19 | 2024-01-16 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 4 — Advising on securities | 2021-07-19 | 2024-01-16 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2021-07-19 | 2024-01-16 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2021-04-22 | 2021-07-19 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2021-04-22 | 2021-07-19 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2021-04-22 | 2021-07-19 |
| ICBC International Capital Limited 工銀國際融資有限公司 |
RO | Type 1 — Dealing in securities | 2019-07-18 | 2021-02-09 |
| ICBC International Securities Limited 工銀國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2019-07-18 | 2021-02-09 |
| ICBC International Capital Limited 工銀國際融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2019-07-18 | 2021-02-09 |
| ICBC International Capital Limited 工銀國際融資有限公司 |
Rep | Type 4 — Advising on securities | 2018-08-30 | 2021-02-09 |
| ICBC International Securities Limited 工銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2017-08-10 | 2019-07-18 |
| ICBC International Capital Limited 工銀國際融資有限公司 |
Rep | Type 1 — Dealing in securities | 2016-10-20 | 2019-07-18 |
| ICBC International Capital Limited 工銀國際融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2016-10-20 | 2019-07-18 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 1 — Dealing in securities | 2010-07-26 | 2016-09-13 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 6 — Advising on corporate finance | 2010-07-26 | 2016-09-13 |