Kwok Ming Ng
吳國明
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kwok Ming Ng (吳國明), CE reference AWA039. Currently licensed at 1 firm(s): BTIG Hong Kong Limited. Total licence records on file: 18.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| BTIG Hong Kong Limited |
Rep | Type 1 — Dealing in securities | 2021-09-16 | present |
| GF International Investment Management Limited 廣發國際資產管理有限公司 |
Rep | Type 9 — Asset management | 2020-02-04 | 2021-08-20 |
| GF International Investment Management Limited 廣發國際資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2020-01-24 | 2021-08-20 |
| Founder Securities (Hong Kong) Limited 方正證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2019-10-29 | 2020-01-17 |
| Founder Futures (Hong Kong) Limited 方正期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2019-10-29 | 2020-01-17 |
| SDIC Securities (Hong Kong) Limited 國投證券（香港）有限公司 |
Rep | Type 1 — Dealing in securities | 2015-05-06 | 2019-10-16 |
| SDIC Securities Futures (Hong Kong) Limited 國投證券期貨（香港）有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2015-05-06 | 2019-10-16 |
| China Securities (International) Brokerage Company Limited 中信建投(國際)証券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2014-11-20 | 2015-02-27 |
| China Securities (International) Brokerage Company Limited 中信建投(國際)証券有限公司 |
Rep | Type 5 — Advising on futures contracts | 2014-11-20 | 2015-02-27 |
| China Securities (International) Brokerage Company Limited 中信建投(國際)証券有限公司 |
Rep | Type 1 — Dealing in securities | 2014-06-13 | 2015-02-27 |
| China Securities (International) Brokerage Company Limited 中信建投(國際)証券有限公司 |
Rep | Type 4 — Advising on securities | 2014-06-13 | 2015-02-27 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2013-08-21 | 2014-06-09 |
| China Merchants Futures (HK) Co., Limited 招商期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2013-08-21 | 2014-06-09 |
| China Merchants Futures (HK) Co., Limited 招商期貨(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | 2013-08-21 | 2014-06-09 |
| Phillip Commodities (HK) Limited 輝立商品(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | 2012-05-24 | 2013-08-10 |
| Phillip Commodities (HK) Limited 輝立商品(香港)有限公司 |
Rep | Type 3 — Leveraged foreign exchange trading | 2011-02-25 | 2013-08-10 |
| Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2010-10-05 | 2013-08-10 |
| Phillip Commodities (HK) Limited 輝立商品(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-10-05 | 2013-08-10 |