Ng, Kwok Kee (SFC:AAG224) 吳國基
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 | RBC FUTURES SERVICES (ASIA) LIMITED | Rep | Asset management | 2003-06-18 | Rep | Advising on futures contracts | 2005-09-30 | Rep | Dealing in futures contracts | 2005-09-30 |
| 2 | RBC GLOBAL ASSET MANAGEMENT (ASIA) LIMITED | Rep | Advising on securities | 2013-07-04 | 2015-07-31 | Rep | Dealing in securities | 2013-07-04 | 2015-07-31 |
| 3 | RBC INVESTMENT SERVICES (ASIA) LIMITED | Rep | Advising on corporate finance | 2004-02-18 | Rep | Asset management | 2004-02-18 | Rep | Advising on securities | 2015-07-31 | Rep | Dealing in securities | 2015-07-31 | Rep | Advising on futures contracts | 2004-11-25 | 2015-07-31 | Rep | Dealing in futures contracts | 2004-11-25 | 2015-07-31 |
| 4 | SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2015-12-31 | |
| 5 | SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | Dealing in securities | 2015-12-31 |
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