Wang-Gu Niu
牛王谷
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wang-Gu Niu (牛王谷), a licensed former licensee with CE reference AGM559. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2007-09-07 | 2010-07-27 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2004-10-21 | 2010-07-27 |
| KGI Capital Asia Limited 凱基金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | present | 2007-09-07 |
| KGI Capital Asia Limited 凱基金融亞洲有限公司 |
Rep | Type 4 — Advising on securities | present | 2007-09-07 |
| KGI Capital Asia Limited 凱基金融亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-05-07 |
| KGI Capital Asia Limited 凱基金融亞洲有限公司 |
Rep | Type 9 — Asset management | present | 2003-11-05 |