Raymond Wai Man (SFC:AFT926) Ng
吳偉文
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Raymond Wai Man (SFC:AFT926) Ng (吳偉文), a licensed former licensee with CE reference AFT926. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2009-07-02 | 2009-09-18 |
| Core Pacific-Yamaichi Securities (H.K.) Limited 京華山一證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2009-07-02 | 2009-09-18 |
| SDHG International Securities Limited 山高國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2008-10-09 | 2009-06-26 |
| Karl-Thomson Securities Company Limited 高信證券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2006-07-10 |
| Karl-Thomson Securities Company Limited 高信證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-07-23 |
| Karl-Thomson Securities Company Limited 高信證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-07-23 |
| Karl-Thomson Securities Company Limited 高信證券有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2004-07-23 |
| Karl-Thomson Securities Company Limited 高信證券有限公司 |
Rep | Type 9 — Asset management | present | 2004-07-23 |