Wai Fong Ou
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wai Fong Ou ( ), a licensed former licensee with CE reference AHJ805. Total licence records on file: 20.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| MF Global Hong Kong Limited 明富環球香港有限公司 |
RO | Type 1 — Dealing in securities | 2008-11-11 | 2010-12-22 |
| MF Global Hong Kong Limited 明富環球香港有限公司 |
RO | Type 2 — Dealing in futures contracts | 2008-11-11 | 2010-12-22 |
| MF Global Hong Kong Limited 明富環球香港有限公司 |
RO | Type 4 — Advising on securities | 2008-11-11 | 2010-12-22 |
| MF Global Hong Kong Limited 明富環球香港有限公司 |
RO | Type 5 — Advising on futures contracts | 2008-11-11 | 2010-12-22 |
| MF Global Hong Kong Limited 明富環球香港有限公司 |
Rep | Type 1 — Dealing in securities | 2008-07-10 | 2008-11-11 |
| MF Global Hong Kong Limited 明富環球香港有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-07-10 | 2008-11-11 |
| MF Global Hong Kong Limited 明富環球香港有限公司 |
Rep | Type 4 — Advising on securities | 2008-07-10 | 2008-11-11 |
| MF Global Hong Kong Limited 明富環球香港有限公司 |
Rep | Type 5 — Advising on futures contracts | 2008-07-10 | 2008-11-11 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2006-02-08 | 2008-03-04 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2006-02-08 | 2008-03-04 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2006-01-25 | 2008-03-04 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2006-01-25 | 2008-03-04 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2004-01-20 | 2006-01-09 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2004-01-20 | 2006-01-09 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
RO | Type 7 — Providing automated trading services | 2004-01-20 | 2006-01-09 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2004-01-20 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-08-18 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-08-18 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2004-01-20 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2003-08-18 |