Chor Sum Sam Ng
吳楚琛
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Chor Sum Sam Ng (吳楚琛), a licensed Representative with CE reference AYT391. Currently licensed at 1 firm(s): Merrill Lynch (Asia Pacific) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 6 - Advising on corporate finance. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2019-04-30 | present |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2019-04-30 | present |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 - Advising on corporate finance | 2019-04-30 | present |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2019-04-30 | 2024-03-04 |
| Merrill Lynch Far East Limited | Rep | Type 4 - Advising on securities | 2019-04-30 | 2024-03-04 |
| Merrill Lynch Far East Limited | Rep | Type 6 - Advising on corporate finance | 2019-04-30 | 2024-03-04 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 1 - Dealing in securities | 2017-01-19 | 2019-01-28 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 4 - Advising on securities | 2017-01-19 | 2019-01-28 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 6 - Advising on corporate finance | 2017-01-19 | 2019-01-28 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 1 - Dealing in securities | 2012-01-13 | 2014-08-29 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 4 - Advising on securities | 2012-01-13 | 2014-08-29 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 6 - Advising on corporate finance | 2012-01-13 | 2014-08-29 |