Lok Yan Ng
伍樂仁
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Lok Yan Ng (伍樂仁), a licensed former licensee with CE reference AOG290. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Leonteq Securities (Hong Kong) Limited | RO | Type 1 — Dealing in securities | 2018-06-07 | 2019-11-27 |
| Leonteq Securities (Hong Kong) Limited | RO | Type 4 — Advising on securities | 2018-06-07 | 2019-11-27 |
| Leonteq Securities (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2018-05-02 | 2018-06-07 |
| Leonteq Securities (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2018-05-02 | 2018-06-07 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2010-06-08 | 2015-01-30 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-06-08 | 2015-01-30 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2006-11-30 | 2010-03-03 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2006-11-30 | 2010-03-03 |