Ng, Johnny Sze Yan 伍時欣
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 | SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | Advising on corporate finance | 2004-04-13 | |
| 2 | SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | Advising on securities | 2004-04-13 | |
| 3 | SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | Asset management | 2004-04-13 | |
| 4 | Tung Shing Futures (Brokers) Limited | Rep | Dealing in futures contracts | 2007-12-28 | 2017-02-12 |
| 5 | SINOPAC SECURITIES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2017-02-13 | |
| 6 | SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | Dealing in securities | 2007-07-09 | |
| 7 | Tung Shing Securities (Brokers) Limited | Rep | Dealing in securities | 2007-10-22 | 2017-02-12 |
| 8 | SINOPAC SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2017-02-13 |
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