Ng, Stephen Chi Kwan 吳志坤
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 | HSBC BROKING (DATA SERVICES) LIMITED | RO | Advising on securities | 2004-01-01 | RO | Asset management | 2004-01-01 |
| 2 | HSBC BROKING FOREX (ASIA) LIMITED | Rep | Leveraged foreign exchange trading | 2003-08-07 | RO | Leveraged foreign exchange trading | 2003-08-07 | 2018-04-30 |
| 3 | HSBC BROKING FUTURES (ASIA) LIMITED | Rep | Advising on futures contracts | 2003-08-01 | Rep | Asset management | 2003-08-01 | Rep | Dealing in futures contracts | 2013-12-03 | RO | Dealing in futures contracts | 2013-12-03 | 2018-04-30 |
| 4 | HSBC BROKING SECURITIES (ASIA) LIMITED | RO | Advising on corporate finance | 2003-08-01 | RO | Advising on securities | 2003-08-01 | RO | Asset management | 2003-08-01 | RO | Automated trading services | 2003-08-01 | RO | Dealing in securities | 2018-04-30 | Rep | Automated trading services | 2003-08-01 | 2003-09-02 |
| 5 | HSBC BROKING SECURITIES (HONG KONG) LIMITED | RO | Dealing in securities | 2013-12-03 | 2018-04-30 |
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