SFC Licences of NG Kwok Ming 吳國明

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

Institution Role Licences Start date End date
BTIG Hong Kong Limited
RE 1 16 September 2021
GF International Investment Management Limited 廣發國際資產管理有限公司
RE 9 04 February 2020 20 August 2021
GF International Investment Management Limited 廣發國際資產管理有限公司
RE 1 24 January 2020 20 August 2021
Founder Futures (Hong Kong) Limited 方正期貨(香港)有限公司
RE 2 29 October 2019 17 January 2020
Founder Securities (Hong Kong) Limited 方正證券(香港)有限公司
RE 1 29 October 2019 17 January 2020
Essence Futures (Hong Kong) Limited 安信期貨(香港)有限公司
RE 2 06 May 2015 16 October 2019
Essence International Securities (Hong Kong) Limited 安信國際證券(香港)有限公司
RE 1 06 May 2015 16 October 2019
China Securities (International) Brokerage Company Limited 中信建投(國際)証券有限公司
RE 2, 5 20 November 2014 27 February 2015
China Securities (International) Brokerage Company Limited 中信建投(國際)証券有限公司
RE 1, 4 13 June 2014 27 February 2015
China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司
RE 1 21 August 2013 09 June 2014
China Merchants Futures (HK) Co., Limited 招商期貨(香港)有限公司
RE 2, 5 21 August 2013 09 June 2014
Phillip Commodities (HK) Limited 輝立商品(香港)有限公司
RE 5 24 May 2012 10 August 2013
Phillip Commodities (HK) Limited 輝立商品(香港)有限公司
RE 3 25 February 2011 10 August 2013
Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司
RE 1 05 October 2010 10 August 2013
Phillip Commodities (HK) Limited 輝立商品(香港)有限公司
RE 2 05 October 2010 10 August 2013