Ng, Warren Brian Ka Hei 吳嘉羲
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 | Daiwa Capital Markets Hong Kong Limited | Rep | Advising on corporate finance | 2010-07-26 | 2016-09-13 |
| 2 | Daiwa Capital Markets Hong Kong Limited | Rep | Dealing in securities | 2010-07-26 | 2016-09-13 |
| 3 | ICBC INTERNATIONAL CAPITAL LIMITED | Rep | Advising on corporate finance | 2016-10-20 | 2019-07-18 |
| 4 | ICBC INTERNATIONAL CAPITAL LIMITED | Rep | Dealing in securities | 2016-10-20 | 2019-07-18 |
| 5 | ICBC INTERNATIONAL SECURITIES LIMITED | Rep | Dealing in securities | 2017-08-10 | 2019-07-18 |
| 6 | ICBC INTERNATIONAL CAPITAL LIMITED | Rep | Advising on securities | 2018-08-30 | 2021-02-09 |
| 7 | ICBC INTERNATIONAL CAPITAL LIMITED | RO | Advising on corporate finance | 2019-07-18 | 2021-02-09 |
| 8 | ICBC INTERNATIONAL CAPITAL LIMITED | RO | Dealing in securities | 2019-07-18 | 2021-02-09 |
| 9 | ICBC INTERNATIONAL SECURITIES LIMITED | RO | Dealing in securities | 2019-07-18 | 2021-02-09 |
| 10 | Credit Suisse (Hong Kong) Limited | Rep | Advising on corporate finance | 2021-04-22 | 2021-07-19 |
| 11 | Credit Suisse (Hong Kong) Limited | Rep | Advising on securities | 2021-04-22 | 2021-07-19 |
| 12 | Credit Suisse (Hong Kong) Limited | Rep | Dealing in securities | 2021-04-22 | 2021-07-19 |
| 13 | Credit Suisse (Hong Kong) Limited | RO | Advising on corporate finance | 2021-07-19 | 2024-01-16 |
| 14 | Credit Suisse (Hong Kong) Limited | RO | Advising on securities | 2021-07-19 | 2024-01-16 |
| 15 | Credit Suisse (Hong Kong) Limited | RO | Dealing in securities | 2021-07-19 | 2024-01-16 |
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