SFC Licences of NGAI Kwok Kan, Thomas 危國根
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
Institution | Role | Licences | Start date | End date |
---|---|---|---|---|
CITIC Securities Asset Management (HK) Limited 中信證券資產管理(香港)有限公司 | RE | 1 | 10 February 2015 | 30 June 2017 |
CITIC Securities Asset Management (HK) Limited 中信證券資產管理(香港)有限公司 | RE | 9 | 04 November 2013 | 30 June 2017 |
CITIC Securities Asset Management (HK) Limited 中信證券資產管理(香港)有限公司 | RE | 4 | 04 November 2013 | 30 June 2017 |
HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 | RE | 1 | 04 May 2009 | 03 April 2012 |
HSBC Securities (Asia) Limited | RE | 1 | 01 April 2003 | 03 April 2012 |
HSBC Securities (Asia) Limited | RE | 6 | 01 April 2003 | 16 December 2003 |
HSBC Securities (Asia) Limited | RE | 9 | 01 April 2003 | 16 December 2003 |
HSBC Securities (Asia) Limited | RE | 4 | 01 April 2003 | 16 December 2003 |