Ng, Justin Sai Yip 吳世業
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | CACHET ASSET MANAGEMENT LIMITED | Rep | Advising on securities | 2021-02-17 | 2021-09-10 | Rep | Asset management | 2021-02-17 | 2021-09-10 | Rep | Dealing in securities | 2021-02-17 | 2021-09-10 | Rep | Advising on securities | 2021-11-12 | 2022-03-09 | Rep | Asset management | 2021-11-12 | 2022-03-09 | Rep | Dealing in securities | 2021-11-12 | 2022-03-09 |
| 2 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Dealing in securities | 2007-08-27 | 2009-07-11 |
| 3 | Morgan Stanley Asia Limited | Rep | Dealing in securities | 2009-08-28 | 2012-05-14 |
| 4 | Morgan Stanley Hong Kong Futures Limited | Rep | Dealing in futures contracts | 2009-09-24 | 2010-12-06 |
| 5 | Morgan Stanley Hong Kong Securities Limited | Rep | Dealing in futures contracts | 2010-12-06 | 2012-05-14 |
| 6 | ROCKPOOL CAPITAL LIMITED | Rep | Advising on securities | 2022-04-20 | 2023-10-04 | Rep | Asset management | 2022-04-20 | 2023-10-04 | Rep | Dealing in securities | 2022-04-20 | 2023-10-04 |
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