Fan Ng
吳凡
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Fan Ng (吳凡), a licensed former licensee with CE reference AUW419. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Rich Union Securities (H.K.) Limited 瑞元證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2015-07-15 | 2022-06-07 |
| Rich Union Securities (H.K.) Limited 瑞元證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2012-03-30 | 2015-07-15 |
| Bright Smart Securities International (H.K.) Limited 耀才證券國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2011-07-26 | 2011-09-22 |
| Bright Smart Futures & Commodities Company Limited 耀才期貨及商品有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2011-07-26 | 2011-09-22 |
| HSBC Broking Forex (Asia) Limited 滙豐金融外匯(亞洲)有限公司 |
Rep | Type 3 — Leveraged foreign exchange trading | 2010-05-07 | 2011-04-02 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2010-03-12 | 2011-04-02 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-03-12 | 2011-04-02 |