SFC Licences of NG Kai Him 吳啟謙
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 | RO | 6 | 04 February 2022 | |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 | RO | 4 | 04 February 2022 | |
| CLSA Limited 中信里昂證券有限公司 | RO | 1 | 04 February 2022 | |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 | RE | 6 | 28 October 2016 | 04 February 2022 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 | RE | 4 | 28 October 2016 | 04 February 2022 |
| CLSA Limited 中信里昂證券有限公司 | RE | 1 | 28 October 2016 | 04 February 2022 |
| CLSA Limited 中信里昂證券有限公司 | RE | 4 | 28 October 2016 | 20 July 2021 |
| BOCOM International (Asia) Limited 交銀國際(亞洲)有限公司 | RE | 6 | 14 May 2013 | 21 September 2016 |
| BOCOM International (Asia) Limited 交銀國際(亞洲)有限公司 | RE | 1 | 14 May 2013 | 21 September 2016 |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 | RE | 6 | 21 September 2010 | 17 April 2013 |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 | RE | 4 | 21 September 2010 | 17 April 2013 |
| Shenwan Hongyuan Capital (H.K.) Limited 申萬宏源融資(香港)有限公司 | RE | 1 | 21 September 2010 | 17 April 2013 |