SFC Licences of NG Ka Yin 吳家燕

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

Institution Role Licences Start date End date
Kwok Hing Securities Limited 國興証券有限公司
RE 1 21 April 2020
HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司
RE 1 13 September 2018 20 November 2019
Kwok Hing Securities Limited 國興証券有限公司
RE 1 20 October 2017 01 August 2018
Cantor Fitzgerald (Hong Kong) Capital Markets Limited 建達(香港)資本市場有限公司
RE 1 31 July 2015 04 May 2017
Instinet Pacific Limited 極訊亞太有限公司
RE 4, 7 20 February 2006 12 June 2015
Instinet Alpha Trading Limited 極訊香港有限公司
RE 4, 7 20 February 2006 01 March 2007
Instinet Pacific Limited 極訊亞太有限公司
RE 1 01 February 2006 12 June 2015
Instinet Alpha Trading Limited 極訊香港有限公司
RE 1 01 February 2006 01 March 2007
SG Securities (HK) Limited 法國興業證券(香港)有限公司
RE 1 17 November 2005 19 January 2006
MIB Securities (Hong Kong) Limited 馬銀證券(香港)有限公司
RE 1 01 April 2003 12 November 2005
MIB Securities (Hong Kong) Limited 馬銀證券(香港)有限公司
RE 4, 6, 9 01 April 2003 09 July 2003