SFC Licences of NG Kai Yan 吳啟仁
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| KGI Asia Limited 凱基證券亞洲有限公司 | RE | 1 | 03 October 2017 | 26 January 2022 |
| KGI Asia Limited 凱基證券亞洲有限公司 | RE | 1 | 22 May 2017 | 02 October 2017 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 | RE | 1 | 29 July 2014 | 09 September 2016 |
| Stockwell Securities Limited 常匯證券有限公司 | RE | 1 | 01 March 2013 | 18 July 2014 |
| UBS Securities Hong Kong Limited | RE | 7 | 05 December 2011 | 25 October 2012 |
| UBS Securities Asia Limited | RE | 1 | 18 June 2008 | 25 October 2012 |
| UBS Securities Hong Kong Limited | RE | 1 | 01 April 2003 | 25 October 2012 |
| UBS Securities Hong Kong Limited | RE | 4 | 01 April 2003 | 24 March 2005 |
| UBS Securities Hong Kong Limited | RE | 6 | 01 April 2003 | 24 March 2005 |
| UBS Securities Hong Kong Limited | RE | 9 | 01 April 2003 | 24 March 2005 |