SFC Licences of NG Lok Yan 伍樂仁
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Leonteq Securities (Hong Kong) Limited | RO | 4 | 07 June 2018 | 27 November 2019 |
| Leonteq Securities (Hong Kong) Limited | RO | 1 | 07 June 2018 | 27 November 2019 |
| Leonteq Securities (Hong Kong) Limited | RE | 4 | 02 May 2018 | 07 June 2018 |
| Leonteq Securities (Hong Kong) Limited | RE | 1 | 02 May 2018 | 07 June 2018 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 | RE | 1 | 08 June 2010 | 30 January 2015 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 | RE | 2 | 08 June 2010 | 30 January 2015 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 | RE | 2 | 30 November 2006 | 03 March 2010 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 | RE | 1 | 30 November 2006 | 03 March 2010 |