SFC Licences of NG Chi To, Graham 伍志濤

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Institution Role Licences Start date End date
Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司
RO 1, 4 06 June 2019 07 April 2021
Guotai Junan Futures (Hong Kong) Limited 國泰君安期貨(香港)有限公司
RO 2, 5 06 June 2019 07 April 2021
Guotai Junan Futures (Hong Kong) Limited 國泰君安期貨(香港)有限公司
RE 2, 5 09 April 2019 06 June 2019
Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司
RE 1, 4 09 April 2019 06 June 2019
China Merchants Futures (HK) Co., Limited 招商期貨(香港)有限公司
RO 2, 5 16 December 2016 31 March 2017
China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司
RO 1, 4 16 December 2016 31 March 2017
China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司
RE 2 07 November 2016 31 March 2017
China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司
RE 1, 4 09 September 2016 16 December 2016
China Merchants Futures (HK) Co., Limited 招商期貨(香港)有限公司
RE 2, 5 09 September 2016 16 December 2016
BOCI Research Limited 中銀國際研究有限公司
RO 4 10 June 2011 31 May 2016
BOCI Asset Management Limited 中銀國際資產管理有限公司
RO 9 11 July 2008 30 June 2014
BOCI Securities Limited 中銀國際證券有限公司
RO 1, 2, 4, 5 10 July 2006 31 May 2016
BOCI Securities Limited 中銀國際證券有限公司
RE 2, 5 11 November 2005 10 July 2006
BOCI Commodities & Futures Limited 中銀國際期貨有限公司
RE 5 15 December 2004 27 January 2011
BOCI Securities Limited 中銀國際證券有限公司
RE 4 15 December 2004 10 July 2006
BOCI Commodities & Futures Limited 中銀國際期貨有限公司
RE 2 05 January 2004 27 January 2011
BOCI Securities Limited 中銀國際證券有限公司
RE 1 05 January 2004 10 July 2006
BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司
RE 1, 4, 6, 9 01 April 2003 05 January 2004
BNP Paribas Peregrine Futures Limited 法國巴黎百富勤期貨有限公司
RE 2, 5, 9 01 April 2003 05 January 2004