SFC Licences of NG Kei Yuen 吳基源

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

Institution Role Licences Start date End date
China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司
RE 1 20 April 2021
China Merchants Futures (HK) Co., Limited 招商期貨(香港)有限公司
RO 2, 5 01 March 2018
China Merchants Futures (HK) Co., Limited 招商期貨(香港)有限公司
RE 2, 5 30 November 2017 01 March 2018
Kaiser Futures Limited 嘉信期貨有限公司
RO 2 19 June 2017 24 November 2017
Kaiser Securities Limited 嘉信証券有限公司
RE 1 15 July 2016 24 November 2017
Kaiser Futures Limited 嘉信期貨有限公司
RE 2 15 July 2016 19 June 2017
Tung Shing Securities (Brokers) Limited 東盛證券(經紀)有限公司
RE 1, 3 21 June 2012 16 June 2016
Tung Shing Futures (Brokers) Limited 東盛期貨(經紀)有限公司
RE 2 21 June 2012 16 June 2016
Sun Hung Kai Investment Services Limited 新鴻基投資服務有限公司
RE 1 04 February 2008 01 June 2012
Sun Hung Kai Commodities Limited 新鴻基期貨有限公司
RE 2 04 February 2008 01 June 2012
CES Forex (HK) Limited 光證外匯(香港)有限公司
RE 3 04 February 2008 01 June 2012
Haitong International Securities Company Limited 海通國際證券有限公司
RE 3 09 January 2007 04 December 2007
Haitong International Futures Limited 海通國際期貨有限公司
RE 2 27 February 2006 04 December 2007
Haitong International Securities Company Limited 海通國際證券有限公司
RE 1 27 February 2006 04 December 2007