Ng, Lok Yan (SFC:AOG290) 伍樂仁
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 | DEUTSCHE SECURITIES ASIA LIMITED | Rep | Dealing in futures contracts | 2006-11-30 | 2010-03-03 | Rep | Dealing in securities | 2006-11-30 | 2010-03-03 |
| 2 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Dealing in securities | 2010-06-08 | 2015-01-30 |
| 3 | GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2010-06-08 | 2015-01-30 |
| 4 | Leonteq Securities (Hong Kong) Limited | Rep | Advising on securities | 2018-05-02 | 2018-06-07 | Rep | Dealing in securities | 2018-05-02 | 2018-06-07 | RO | Advising on securities | 2018-06-07 | 2019-11-27 | RO | Dealing in securities | 2018-06-07 | 2019-11-27 |
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