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