Kwok Kee Ng
吳國基
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kwok Kee Ng (吳國基), a licensed Representative with CE reference AAG224. Currently licensed at 2 firm(s): Shenwan Hongyuan Securities (H.K.) Limited, Shenwan Hongyuan Futures (H.K.) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2015-12-31 | present |
| Shenwan Hongyuan Futures (H.K.) Limited 申萬宏源期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2015-12-31 | present |
| RBC Global Asset Management (Asia) Limited 加皇環球資產管理(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2013-07-04 | 2015-07-31 |
| RBC Global Asset Management (Asia) Limited 加皇環球資產管理(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2013-07-04 | 2015-07-31 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2004-11-25 | 2015-07-31 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 5 — Advising on futures contracts | 2004-11-25 | 2015-07-31 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 1 — Dealing in securities | present | 2015-07-31 |
| RBC Futures Services (Asia) Limited | Rep | Type 2 — Dealing in futures contracts | present | 2005-09-30 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 4 — Advising on securities | present | 2015-07-31 |
| RBC Futures Services (Asia) Limited | Rep | Type 5 — Advising on futures contracts | present | 2005-09-30 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-02-18 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 9 — Asset management | present | 2004-02-18 |
| RBC Futures Services (Asia) Limited | Rep | Type 9 — Asset management | present | 2003-06-18 |