Penny Yuk Ng
吳玉
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Penny Yuk Ng (吳玉), a licensed Responsible Officer with CE reference AAD136. Currently licensed at 1 firm(s): Innovest Securities Investment Limited. Active regulated activities: Type 1 — Dealing in securities. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Innovest Securities Investment Limited 粵創證券投資有限公司 |
RO | Type 1 — Dealing in securities | 2026-01-16 | present |
| Zundiao Securities Limited 尊迪奧證券有限公司 |
RO | Type 1 — Dealing in securities | 2024-04-29 | 2025-11-30 |
| Zundiao Securities Limited 尊迪奧證券有限公司 |
RO | Type 4 — Advising on securities | 2024-04-29 | 2025-11-30 |
| Innovest Securities Investment Limited 粵創證券投資有限公司 |
RO | Type 1 — Dealing in securities | 2022-11-15 | 2024-02-14 |
| Innovest Securities Investment Limited 粵創證券投資有限公司 |
Rep | Type 1 — Dealing in securities | 2022-09-20 | 2022-11-15 |
| Upmax Securities Limited 晉億證券有限公司 |
Rep | Type 1 — Dealing in securities | 2021-04-07 | 2022-06-30 |
| China Times Securities Limited 中辰證券有限公司 |
RO | Type 1 — Dealing in securities | 2013-06-25 | 2020-11-17 |
| China Times Securities Limited 中辰證券有限公司 |
Rep | Type 1 — Dealing in securities | 2013-06-17 | 2013-06-25 |
| Hang Tai Securities Limited 恒泰證券有限公司 |
RO | Type 1 — Dealing in securities | present | 2013-06-16 |
| Hang Tai Securities Limited 恒泰證券有限公司 |
RO | Type 4 — Advising on securities | present | 2005-01-20 |
| Hang Tai Securities Limited 恒泰證券有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2005-01-20 |
| Hang Tai Securities Limited 恒泰證券有限公司 |
RO | Type 9 — Asset management | present | 2005-01-20 |