Ng, Kwok Ming 吳國明
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 | BTIG Hong Kong Limited | Rep | Dealing in securities | 2021-09-16 | |
| 2 | CHINA MERCHANTS FUTURES (HK) CO., LIMITED | Rep | Advising on futures contracts | 2013-08-21 | 2014-06-09 | Rep | Dealing in futures contracts | 2013-08-21 | 2014-06-09 |
| 3 | CHINA MERCHANTS SECURITIES (HK) CO., LIMITED | Rep | Dealing in securities | 2013-08-21 | 2014-06-09 |
| 4 | China Securities (International) Brokerage Company Limited | Rep | Advising on securities | 2014-06-13 | 2015-02-27 | Rep | Dealing in securities | 2014-06-13 | 2015-02-27 | Rep | Advising on futures contracts | 2014-11-20 | 2015-02-27 | Rep | Dealing in futures contracts | 2014-11-20 | 2015-02-27 |
| 5 | Essence Futures (Hong Kong) Limited | Rep | Dealing in futures contracts | 2015-05-06 | 2019-10-16 |
| 6 | Essence International Securities (Hong Kong) Limited | Rep | Dealing in securities | 2015-05-06 | 2019-10-16 |
| 7 | FOUNDER FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2019-10-29 | 2020-01-17 |
| 8 | FOUNDER SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2019-10-29 | 2020-01-17 |
| 9 | GF International Investment Management Limited | Rep | Dealing in securities | 2020-01-24 | 2021-08-20 | Rep | Asset management | 2020-02-04 | 2021-08-20 |
| 10 | PHILLIP COMMODITIES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2010-10-05 | 2013-08-10 | Rep | Leveraged foreign exchange trading | 2011-02-25 | 2013-08-10 | Rep | Advising on futures contracts | 2012-05-24 | 2013-08-10 |
| 11 | PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2010-10-05 | 2013-08-10 |
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