SFC licenceholder AMF277 NG Chun Wai 吳俊威

Licences

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

Updated: 28 February 2020

Institution Role Licences Start date End date
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RO [4] (Advising on Securities), [5] (Advising on Futures Contracts) 18 July 2019
Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 RO [4] (Advising on Securities) 18 July 2019
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RO [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) 15 November 2017
Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 RO [1] (Dealing in Securities) 15 November 2017
Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 RE [1] (Dealing in Securities) 02 November 2010 15 November 2017
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RE [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) 18 August 2009 15 November 2017
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RE [7] (Providing Automated Trading Services) 18 August 2009 01 November 2013
UBS Securities Hong Kong Limited RE [1] (Dealing in Securities) 07 June 2007 10 July 2009
UBS Securities Asia Limited RE [1] (Dealing in Securities), [2] (Dealing in Futures Contracts) 07 June 2007 10 July 2009
UBS Derivatives Hong Kong Limited RE [2] (Dealing in Futures Contracts) 07 June 2007 10 July 2009
Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 RE [2] (Dealing in Futures Contracts) 13 July 2005 10 May 2007
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 RE [1] (Dealing in Securities) 13 July 2005 10 May 2007