Warren Brian Ka Hei Ng
吳嘉羲
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Warren Brian Ka Hei Ng (吳嘉羲), a licensed Responsible Officer with CE reference AVN286. Currently licensed at 2 firm(s): BOCI Asia Limited, BOCI Securities Limited. Active regulated activities: Type 1 — Dealing in securities; Type 6 — Advising on corporate finance. Total licence records on file: 21.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| BOCI Asia Limited 中銀國際亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2025-08-18 | present |
| BOCI Securities Limited 中銀國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2025-08-18 | present |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | 2025-08-18 | present |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2025-07-02 | 2025-08-18 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2025-07-02 | 2025-08-18 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2025-07-02 | 2025-08-18 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2021-07-19 | 2024-01-16 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 4 — Advising on securities | 2021-07-19 | 2024-01-16 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2021-07-19 | 2024-01-16 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2021-04-22 | 2021-07-19 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2021-04-22 | 2021-07-19 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2021-04-22 | 2021-07-19 |
| ICBC International Capital Limited 工銀國際融資有限公司 |
RO | Type 1 — Dealing in securities | 2019-07-18 | 2021-02-09 |
| ICBC International Securities Limited 工銀國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2019-07-18 | 2021-02-09 |
| ICBC International Capital Limited 工銀國際融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2019-07-18 | 2021-02-09 |
| ICBC International Capital Limited 工銀國際融資有限公司 |
Rep | Type 4 — Advising on securities | 2018-08-30 | 2021-02-09 |
| ICBC International Securities Limited 工銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2017-08-10 | 2019-07-18 |
| ICBC International Capital Limited 工銀國際融資有限公司 |
Rep | Type 1 — Dealing in securities | 2016-10-20 | 2019-07-18 |
| ICBC International Capital Limited 工銀國際融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2016-10-20 | 2019-07-18 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 1 — Dealing in securities | 2010-07-26 | 2016-09-13 |
| Daiwa Capital Markets Hong Kong Limited 大和資本市場香港有限公司 |
Rep | Type 6 — Advising on corporate finance | 2010-07-26 | 2016-09-13 |