Kai Him Ng
吳啟謙
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kai Him Ng (吳啟謙), a licensed Responsible Officer with CE reference AVY121. Currently licensed at 2 firm(s): CLSA Limited, CITIC Securities (Hong Kong) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 6 — Advising on corporate finance. Total licence records on file: 12.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Advising on corporate finance →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CLSA Limited 中信里昂證券有限公司 |
RO | Type 1 — Dealing in securities | 2022-02-04 | present |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2022-02-04 | present |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2022-02-04 | present |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2016-10-28 | 2022-02-04 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2016-10-28 | 2022-02-04 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 4 — Advising on securities | 2016-10-28 | 2021-07-20 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2016-10-28 | 2022-02-04 |
| BOCOM International (Asia) Limited 交銀國際(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2013-05-14 | 2016-09-21 |
| BOCOM International (Asia) Limited 交銀國際(亞洲)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2013-05-14 | 2016-09-21 |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2010-09-21 | 2013-04-17 |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2010-09-21 | 2013-04-17 |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2010-09-21 | 2013-04-17 |