Ng, Kai Him 吳啟謙
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 | BOCOM International (Asia) Limited | Rep | Advising on corporate finance | 2013-05-14 | 2016-09-21 | Rep | Dealing in securities | 2013-05-14 | 2016-09-21 |
| 2 | CITIC Securities (Hong Kong) Limited | Rep | Advising on corporate finance | 2016-10-28 | 2022-02-04 | Rep | Advising on securities | 2016-10-28 | 2022-02-04 | RO | Advising on corporate finance | 2022-02-04 | RO | Advising on securities | 2022-02-04 |
| 3 | CLSA LIMITED | Rep | Advising on securities | 2016-10-28 | 2021-07-20 | Rep | Dealing in securities | 2016-10-28 | 2022-02-04 | RO | Dealing in securities | 2022-02-04 |
| 4 | SHENWAN HONGYUAN CAPITAL (H.K.) LIMITED | Rep | Advising on corporate finance | 2010-09-21 | 2013-04-17 | Rep | Advising on securities | 2010-09-21 | 2013-04-17 | Rep | Dealing in securities | 2010-09-21 | 2013-04-17 |
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