Wai (SFC:AAE362) Ng
吳偉
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wai (SFC:AAE362) Ng (吳偉), a licensed former licensee with CE reference AAE362. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Roofer Securities Limited 路華證券有限公司 |
RO | Type 1 — Dealing in securities | 2004-10-20 | 2019-07-31 |
| OCBC Futures Investment (Hong Kong) Limited 華僑期貨投資(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2004-03-31 |
| OCBC Futures Investment (Hong Kong) Limited 華僑期貨投資(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2003-10-20 |
| OCBC Futures Investment (Hong Kong) Limited 華僑期貨投資(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2003-10-20 |
| Chekiang First Securities Co. Limited 浙江第一證券有限公司 |
RO | Type 1 — Dealing in securities | present | 2004-03-31 |
| Chekiang First Securities Co. Limited 浙江第一證券有限公司 |
RO | Type 4 — Advising on securities | present | 2003-09-22 |
| Chekiang First Securities Co. Limited 浙江第一證券有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2003-09-22 |
| Chekiang First Securities Co. Limited 浙江第一證券有限公司 |
RO | Type 9 — Asset management | present | 2003-09-22 |