Stephen Chi Kwan Ng
吳志坤
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Stephen Chi Kwan Ng (吳志坤), a licensed former licensee with CE reference AAZ517. Total licence records on file: 15.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Broking Securities (Hong Kong) Limited 滙豐金融證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2013-12-03 | 2018-04-30 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2013-12-03 | 2018-04-30 |
| HSBC Broking Forex (Asia) Limited 滙豐金融外匯(亞洲)有限公司 |
RO | Type 3 — Leveraged foreign exchange trading | 2003-08-07 | 2018-04-30 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 7 — Providing automated trading services | 2003-08-01 | 2003-09-02 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2013-12-03 |
| HSBC Broking Forex (Asia) Limited 滙豐金融外匯(亞洲)有限公司 |
Rep | Type 3 — Leveraged foreign exchange trading | present | 2003-08-07 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2003-08-01 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
Rep | Type 9 — Asset management | present | 2003-08-01 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
RO | Type 1 — Dealing in securities | present | 2018-04-30 |
| HSBC Broking (Data Services) Limited 滙豐金融(證券資料)有限公司 |
RO | Type 4 — Advising on securities | present | 2004-01-01 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
RO | Type 4 — Advising on securities | present | 2003-08-01 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2003-08-01 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
RO | Type 7 — Providing automated trading services | present | 2003-08-01 |
| HSBC Broking (Data Services) Limited 滙豐金融(證券資料)有限公司 |
RO | Type 9 — Asset management | present | 2004-01-01 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
RO | Type 9 — Asset management | present | 2003-08-01 |