Ng, Graham Chi To 伍志濤
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 | BNP PARIBAS PEREGRINE FUTURES LIMITED | Rep | Advising on futures contracts | 2004-01-05 | Rep | Asset management | 2004-01-05 | Rep | Dealing in futures contracts | 2004-01-05 |
| 2 | BNP PARIBAS SECURITIES (ASIA) LIMITED | Rep | Advising on corporate finance | 2004-01-05 | Rep | Advising on securities | 2004-01-05 | Rep | Asset management | 2004-01-05 | Rep | Dealing in securities | 2004-01-05 |
| 3 | BOCI ASSET MANAGEMENT LIMITED | RO | Asset management | 2008-07-11 | 2014-06-30 |
| 4 | BOCI COMMODITIES & FUTURES LIMITED | Rep | Dealing in futures contracts | 2004-01-05 | 2011-01-27 | Rep | Advising on futures contracts | 2004-12-15 | 2011-01-27 |
| 5 | BOCI RESEARCH LIMITED | RO | Advising on securities | 2011-06-10 | 2016-05-31 |
| 6 | BOCI SECURITIES LIMITED | Rep | Dealing in securities | 2004-01-05 | 2006-07-10 | Rep | Advising on securities | 2004-12-15 | 2006-07-10 | Rep | Advising on futures contracts | 2005-11-11 | 2006-07-10 | Rep | Dealing in futures contracts | 2005-11-11 | 2006-07-10 | RO | Advising on futures contracts | 2006-07-10 | 2016-05-31 | RO | Advising on securities | 2006-07-10 | 2016-05-31 | RO | Dealing in futures contracts | 2006-07-10 | 2016-05-31 | RO | Dealing in securities | 2006-07-10 | 2016-05-31 |
| 7 | CHINA MERCHANTS FUTURES (HK) CO., LIMITED | Rep | Advising on futures contracts | 2016-09-09 | 2016-12-16 | Rep | Dealing in futures contracts | 2016-09-09 | 2016-12-16 | RO | Advising on futures contracts | 2016-12-16 | 2017-03-31 | RO | Dealing in futures contracts | 2016-12-16 | 2017-03-31 |
| 8 | CHINA MERCHANTS SECURITIES (HK) CO., LIMITED | Rep | Advising on securities | 2016-09-09 | 2016-12-16 | Rep | Dealing in securities | 2016-09-09 | 2016-12-16 | Rep | Dealing in futures contracts | 2016-11-07 | 2017-03-31 | RO | Advising on securities | 2016-12-16 | 2017-03-31 | RO | Dealing in securities | 2016-12-16 | 2017-03-31 |
| 9 | Cosmos One Capital Limited | Rep | Advising on securities | 2023-03-02 | Rep | Dealing in securities | 2023-03-02 |
| 10 | GUOTAI JUNAN FUTURES (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2019-04-09 | 2019-06-06 | Rep | Dealing in futures contracts | 2019-04-09 | 2019-06-06 | RO | Advising on futures contracts | 2019-06-06 | 2021-04-07 | RO | Dealing in futures contracts | 2019-06-06 | 2021-04-07 |
| 11 | GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED | Rep | Advising on securities | 2019-04-09 | 2019-06-06 | Rep | Dealing in securities | 2019-04-09 | 2019-06-06 | RO | Advising on securities | 2019-06-06 | 2021-04-07 | RO | Dealing in securities | 2019-06-06 | 2021-04-07 |
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