SFC Licences of NG Wai Man 吳偉民
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| UCAP Securities (HK) Limited 佑聯證券有限公司 | RO | 9 | 27 September 2021 | |
| UCAP Securities (HK) Limited 佑聯證券有限公司 | RO | 4 | 27 September 2021 | |
| UCAP Securities (HK) Limited 佑聯證券有限公司 | RO | 1 | 27 September 2021 | |
| UCAP Securities (HK) Limited 佑聯證券有限公司 | RE | 9 | 14 May 2021 | 27 September 2021 |
| UCAP Securities (HK) Limited 佑聯證券有限公司 | RE | 4 | 14 May 2021 | 27 September 2021 |
| Axiom Investment Management Limited 明懿資產管理有限公司 | RO | 9 | 17 December 2020 | 17 March 2021 |
| Axiom Investment Management Limited 明懿資產管理有限公司 | RO | 4 | 17 December 2020 | 17 March 2021 |
| Axiom Investment Management Limited 明懿資產管理有限公司 | RE | 9 | 21 July 2020 | 17 December 2020 |
| Axiom Investment Management Limited 明懿資產管理有限公司 | RE | 4 | 21 July 2020 | 17 December 2020 |