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
CLSA Capital Markets Limited 中信里昂證券資本市場有限公司
RO 4, 6 04 February 2022
CLSA Limited 中信里昂證券有限公司
RO 1 04 February 2022
CLSA Capital Markets Limited 中信里昂證券資本市場有限公司
RE 4, 6 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 1, 6 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 1, 4, 6 21 September 2010 17 April 2013