Ng, Siu Wai (SFC:AWX842) 吳小委
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 | CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED | Rep | Dealing in futures contracts | 2015-05-29 | 2017-07-17 |
| 2 | CHINA EVERBRIGHT SECURITIES (HK) LIMITED | Rep | Dealing in securities | 2015-04-24 | 2017-07-17 |
| 3 | CMB INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2017-08-02 | 2020-10-30 |
| 4 | CMB International Securities Limited | Rep | Dealing in securities | 2017-08-02 | 2020-10-30 | Rep | Advising on securities | 2017-10-16 | 2020-10-30 |
| 5 | HAITONG INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2020-11-26 | 2021-02-01 |
| 6 | HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Advising on securities | 2020-11-26 | 2021-02-01 | Rep | Dealing in securities | 2020-11-26 | 2021-02-01 |
| 7 | KCG SECURITIES ASIA LIMITED | Rep | Dealing in securities | 2012-12-12 | 2015-04-03 |
| 8 | PHILLIP COMMODITIES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2012-05-08 | 2012-12-09 |
| 9 | PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2011-03-07 | 2012-12-09 |
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