Ng, Sze Nam 伍思南
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 | IBTS ASIA (HK) LIMITED | Rep | Dealing in securities | 2012-04-03 | 2013-06-28 |
| 2 | KGI ASIA LIMITED | Rep | Advising on corporate finance | 2003-10-09 | Rep | Advising on securities | 2003-10-09 | Rep | Asset management | 2003-10-09 | Rep | Dealing in securities | 2003-10-09 | Rep | Dealing in securities | 2009-04-08 | 2011-04-16 |
| 3 | KGI FUTURES (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2003-10-09 | Rep | Asset management | 2003-10-09 | Rep | Dealing in futures contracts | 2003-10-09 | Rep | Dealing in futures contracts | 2009-04-08 | 2011-04-16 |
| 4 | Open Securities Limited | Rep | Dealing in securities | 2003-11-21 | 2004-07-06 |
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