Wenda Sum Yee Nip
聶心怡
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wenda Sum Yee Nip (聶心怡), a licensed former licensee with CE reference AFT506. This person has 2.9 years of SFC licence history. Total licence records on file: 10.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2005-01-24 | 2006-02-21 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 - Dealing in securities | 2005-01-24 | 2006-02-21 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 2 - Dealing in futures contracts | 2005-01-24 | 2006-02-21 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2005-01-12 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 2005-01-12 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-06-02 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 5 - Advising on futures contracts | Pre-2003 | 2004-06-02 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-06-02 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-06-02 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-06-02 |