Kwong Kei Ng
吳廣基
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kwong Kei Ng (吳廣基), a licensed former licensee with CE reference APW215. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| VMS Securities Limited 鼎珮證券有限公司 |
RO | Type 9 — Asset management | 2011-06-21 | 2013-01-03 |
| STI Asset Management Limited | RO | Type 4 — Advising on securities | 2009-10-09 | 2013-10-15 |
| STI Asset Management Limited | RO | Type 9 — Asset management | 2009-10-09 | 2013-10-15 |
| STI Asset Management Limited | Rep | Type 4 — Advising on securities | 2009-06-11 | 2009-10-09 |
| STI Asset Management Limited | Rep | Type 9 — Asset management | 2009-05-21 | 2009-10-09 |
| Guotai Junan Assets (Asia) Limited 國泰君安資產管理(亞洲)有限公司 |
Rep | Type 9 — Asset management | 2008-02-01 | 2008-12-16 |
| Guotai Junan Capital Limited 國泰君安融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2007-10-23 | 2008-12-16 |