SFC Licences of NG Shan Yung 吳燦榕

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

Institution Role Licences Start date End date
Yunfeng Financial Markets Limited 雲鋒金融市場有限公司
RO 6 14 December 2018 16 March 2022
Yunfeng Financial Markets Limited 雲鋒金融市場有限公司
RE 1 03 December 2018 16 March 2022
Yunfeng Financial Markets Limited 雲鋒金融市場有限公司
RE 6 03 December 2018 14 December 2018
CLSA Capital Markets Limited 中信里昂證券資本市場有限公司
RO 6 11 November 2015 26 November 2016
CLSA Limited 中信里昂證券有限公司
RE 1, 4 14 October 2015 26 November 2016
CLSA Capital Markets Limited 中信里昂證券資本市場有限公司
RE 4 14 October 2015 26 November 2016
CLSA Capital Markets Limited 中信里昂證券資本市場有限公司
RE 6 14 October 2015 11 November 2015
China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司
RO 6 28 April 2015 11 September 2015
China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司
RE 6 24 October 2014 28 April 2015
Anglo Chinese Corporate Finance, Limited 英高財務顧問有限公司
RO 6 26 January 2011 10 October 2014
Anglo Chinese Corporate Finance, Limited 英高財務顧問有限公司
RO 6 03 April 2008 31 August 2010
Anglo Chinese Corporate Finance, Limited 英高財務顧問有限公司
RE 6 28 June 2005 03 April 2008