Ng, Sze Man (SFC:AMN571) 吳施敏
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 Holdings Company Limited | Rep | Dealing in futures contracts | 2006-03-09 | 2007-05-07 | Rep | Dealing in securities | 2006-03-09 | 2007-05-07 |
| 2 | HSBC BROKING FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2005-09-27 | 2006-01-07 |
| 3 | HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2005-09-27 | 2006-01-07 |
| 4 | JMC Capital HK Limited | Rep | Advising on securities | 2021-05-03 | 2022-12-30 | Rep | Asset management | 2021-05-03 | 2022-12-30 | Rep | Dealing in securities | 2021-05-03 | 2022-12-30 |
| 5 | Nomura Asia Investment (Hong Kong) Limited | Rep | Dealing in futures contracts | 2007-05-15 | 2009-12-19 |
| 6 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2007-05-15 | 2009-12-19 | Rep | Dealing in securities | 2007-05-15 | 2009-12-19 |
| 7 | Win Harvest Asset Management Limited | Rep | Asset management | 2019-04-15 | 2019-11-15 |
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