Ho Yin Ng
吳浩賢
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ho Yin Ng (吳浩賢), a licensed Responsible Officer with CE reference BAI111. Currently licensed at 1 firm(s): Aurora Borealis Investment Services Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 9.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Aurora Borealis Investment Services Limited 北極光證券投資服務有限公司 |
RO | Type 1 — Dealing in securities | 2022-07-08 | present |
| Aurora Borealis Investment Services Limited 北極光證券投資服務有限公司 |
RO | Type 4 — Advising on securities | 2022-07-08 | present |
| Aurora Borealis Investment Services Limited 北極光證券投資服務有限公司 |
RO | Type 9 — Asset management | 2022-07-08 | present |
| Aurora Borealis Investment Services Limited 北極光證券投資服務有限公司 |
Rep | Type 4 — Advising on securities | 2021-04-09 | 2022-07-08 |
| Aurora Borealis Investment Services Limited 北極光證券投資服務有限公司 |
Rep | Type 1 — Dealing in securities | 2018-02-02 | 2022-07-08 |
| Aurora Borealis Investment Services Limited 北極光證券投資服務有限公司 |
Rep | Type 9 — Asset management | 2018-02-02 | 2022-07-08 |
| CIS Securities Asset Management Limited 順安證券資產管理有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2016-02-11 | 2018-01-26 |
| CIS Securities Asset Management Limited 順安證券資產管理有限公司 |
Rep | Type 9 — Asset management | 2016-02-11 | 2018-01-26 |
| CIS Securities Asset Management Limited 順安證券資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2014-11-20 | 2018-01-26 |