Siu Wai (SFC:AWX842) Ng
吳小委
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Siu Wai (SFC:AWX842) Ng (吳小委), a licensed former licensee with CE reference AWX842. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2020-11-26 | 2021-02-01 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2020-11-26 | 2021-02-01 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2020-11-26 | 2021-02-01 |
| CMB International Securities Limited 招銀國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2017-10-16 | 2020-10-30 |
| CMB International Securities Limited 招銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2017-08-02 | 2020-10-30 |
| CMB International Futures Limited 招銀國際期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2017-08-02 | 2020-10-30 |
| China Everbright Forex & Futures (HK) Limited 中國光大外匯、期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2015-05-29 | 2017-07-17 |
| China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2015-04-24 | 2017-07-17 |
| KCG Securities Asia Limited 寶通證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2012-12-12 | 2015-04-03 |
| Phillip Commodities (HK) Limited 輝立商品(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2012-05-08 | 2012-12-09 |
| Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2011-03-07 | 2012-12-09 |