Ngai, Henry Chun Kit 倪俊傑

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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 2003-08-06
Rep Asset management 2003-08-06
Rep Dealing in futures contracts 2003-08-07
2 BNP PARIBAS SECURITIES (ASIA) LIMITED Rep Advising on corporate finance 2003-08-06
Rep Advising on securities 2003-08-06
Rep Asset management 2003-08-06
Rep Dealing in securities 2003-08-07
3 CLSA FUTURES LIMITED Rep Dealing in futures contracts 2010-05-10 2016-02-15
4 CLSA LIMITED Rep Dealing in securities 2007-06-11 2014-10-14
RO Dealing in securities 2014-10-14 2015-10-22
Rep Dealing in securities 2015-10-22 2017-12-09
5 Credit Suisse (Hong Kong) Limited Rep Dealing in securities 2004-06-02 2007-05-09
6 Credit Suisse Futures (Hong Kong) Limited Rep Dealing in futures contracts 2004-06-02 2007-05-09
Rep Automated trading services 2005-04-14 2007-05-09
7 Credit Suisse Securities (Hong Kong) Limited Rep Dealing in securities 2004-06-02 2007-05-09
8 GOLDMAN SACHS (ASIA) L.L.C. Rep Dealing in securities 2003-09-29 2003-12-18
9 GOLDMAN SACHS (ASIA) SECURITIES LIMITED Rep Dealing in securities 2003-09-29 2003-12-18
10 GOLDMAN SACHS FUTURES (ASIA) LIMITED Rep Dealing in futures contracts 2003-09-29 2003-12-18

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