Ng, Ka Wai (SFC:APO972) 伍家慧
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 Securities Limited | Rep | Dealing in securities | 2009-11-09 | 2017-11-23 | Rep | Dealing in futures contracts | 2011-05-06 | 2017-11-23 |
| 2 | China Investment Fund International Securities Limited | Rep | Advising on securities | 2018-08-22 | 2018-10-22 | Rep | Dealing in securities | 2018-08-22 | 2018-10-22 | RO | Advising on securities | 2018-10-22 | 2019-06-14 | RO | Dealing in securities | 2018-10-22 | 2019-06-14 |
| 3 | Chiyu Asset Management Limited | Rep | Asset management | 2020-09-23 | 2021-06-15 | RO | Asset management | 2021-06-15 | 2022-11-08 |
| 4 | Chiyu International Capital Limited | Rep | Advising on securities | 2020-01-03 | 2020-01-13 | Rep | Dealing in securities | 2020-01-03 | 2020-01-13 | RO | Advising on securities | 2020-01-13 | 2022-11-08 | RO | Dealing in securities | 2020-01-13 | 2022-11-08 |
| 5 | Cortina Capital Asset Management Limited | Rep | Advising on securities | 2022-11-18 | 2022-12-16 | Rep | Asset management | 2022-11-18 | 2022-12-16 | RO | Advising on securities | 2022-12-16 | RO | Asset management | 2022-12-16 |
| 6 | GT CAPITAL LIMITED | Rep | Dealing in securities | 2007-10-09 | 2008-06-07 |
| 7 | LEHIN SECURITIES LIMITED | Rep | Dealing in securities | 2008-06-10 | 2009-11-07 |
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