Carole Ng
吳家惠
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Carole Ng (吳家惠), a licensed former licensee with CE reference BMI351. This person has 3.1 years of SFC licence history. Total licence records on file: 3.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2018-05-03 | 2021-06-12 |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2018-05-03 | 2021-06-12 |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2018-05-03 | 2021-06-12 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Carole Ng during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.