Ka Yan (SFC:BAP994) Ng
吳嘉欣
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ka Yan (SFC:BAP994) Ng (吳嘉欣), a licensed former licensee with CE reference BAP994. Total licence records on file: 15.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Advent Securities (Hong Kong) Limited 宏智證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2022-04-21 | 2022-05-10 |
| Advent Securities (Hong Kong) Limited 宏智證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2020-05-19 | 2021-03-31 |
| Advent Securities (Hong Kong) Limited 宏智證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2020-04-15 | 2020-05-19 |
| Modern Innovative Securities Limited 新質證券有限公司 |
Rep | Type 1 — Dealing in securities | 2017-12-06 | 2020-04-01 |
| Modern Innovative Securities Limited 新質證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2017-12-06 | 2020-04-01 |
| Kaiser Securities Limited 嘉信証券有限公司 |
Rep | Type 1 — Dealing in securities | 2017-10-26 | 2017-11-19 |
| Kaiser Futures Limited 嘉信期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2017-10-26 | 2017-11-19 |
| Dakin Securities Limited 德健證券有限公司 |
Rep | Type 1 — Dealing in securities | 2017-05-19 | 2017-09-29 |
| Dakin Securities Limited 德健證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2017-05-19 | 2017-09-29 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2016-09-12 | 2017-05-05 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2016-09-12 | 2017-05-05 |
| Black Marble Securities Limited 貝格隆証券有限公司 |
Rep | Type 1 — Dealing in securities | 2015-10-06 | 2016-09-02 |
| 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 | 2013-04-29 | 2015-09-22 |
| China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2013-03-14 | 2015-09-22 |
| RaffAello Securities (HK) Limited | Rep | Type 1 — Dealing in securities | 2012-12-21 | 2013-02-11 |