SFC Licences of NG So Yi 吳素宜

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

Institution	Role	Licences	Start date	End date
Goldhorse Securities Limited 金馬證券有限公司	RO	4	20 December 2021	15 December 2022
Goldhorse Securities Limited 金馬證券有限公司	RO	1	20 December 2021	15 December 2022
Goldhorse Securities Limited 金馬證券有限公司	RE	4	13 May 2021	20 December 2021
Goldhorse Securities Limited 金馬證券有限公司	RE	1	13 May 2021	20 December 2021
Goldhorse Capital Management (HK) Limited	RE	4	09 July 2020	29 January 2021
Goldhorse Capital Management (HK) Limited	RE	1	11 June 2020	29 January 2021
Soochow Securities International Futures Limited 東吳證券國際期貨有限公司	RE	2	25 February 2019	17 May 2020
Soochow Securities International Brokerage Limited 東吳證券國際經紀有限公司	RE	1	25 February 2019	17 May 2020
Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司	RE	1	06 September 2017	18 February 2019
Core Pacific-Yamaichi Futures (H.K.) Limited 京華山一期貨(香港)有限公司	RE	2	06 September 2017	18 February 2019
Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司	RE	4	04 August 2016	23 August 2017
Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司	RE	1	04 August 2016	23 August 2017
Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司	RE	2	04 August 2016	23 August 2017
CIS Securities Asset Management Limited 順安證券資產管理有限公司	RE	2	28 June 2016	12 July 2016
CIS Securities Asset Management Limited 順安證券資產管理有限公司	RE	1	28 June 2016	12 July 2016
UOB Kay Hian Futures (Hong Kong) Limited 大華繼顯期貨(香港)有限公司	RE	2	09 January 2015	15 April 2016
UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司	RE	1	09 August 2013	15 April 2016
Hong Kong Securities (International) Company Limited 香港證券(國際)有限公司	RE	1	08 February 2012	31 July 2013