Ng, Wai Kwong (SFC:ADJ383) 吳衛剛

Key Data SFC Licenses Public Disciplinary Actions

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
CCB INTERNATIONAL SECURITIES LIMITED	RO	Dealing in futures contracts	2013-05-02	2023-06-30
	Rep	Advising on securities	2013-01-04	2013-04-29
	Rep	Dealing in securities	2013-01-04	2013-04-29
Marex Hong Kong Limited	Rep	Dealing in futures contracts	2011-07-04	2012-07-30
SG Asset Finance (Hong Kong) Limited	Rep	Dealing in futures contracts	2008-10-13	2011-05-23
	Rep	Dealing in securities	2008-10-13	2011-05-23
Newedge Broker Hong Kong Limited	Rep	Dealing in futures contracts	2008-05-15	2011-05-23
Newedge Broker Limited	Rep	Providing automated trading services	2008-05-15	2009-07-31
	Rep	Dealing in futures contracts	2008-05-15	2009-07-31
	Rep	Dealing in securities	2008-05-15	2009-07-31
UBS DERIVATIVES HONG KONG LIMITED	Rep	Dealing in futures contracts	2006-10-02	2008-04-17
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2006-10-02	2008-04-17
	Rep	Dealing in securities	2006-10-02	2008-04-17
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2006-10-02	2008-04-17
Credit Agricole Securities (Asia) Limited	Rep	Dealing in securities	2004-06-17	2006-09-30
RBS Asia Futures Limited	Rep	Dealing in futures contracts	2004-06-17	2006-09-30
RBS Asia Securities (Hong Kong) Limited	Rep	Dealing in securities	2004-06-17	2005-02-04
HSBC BROKING FUTURES (HONG KONG) LIMITED	Rep	Advising on futures contracts	-	2003-08-18
	Rep	Asset management	-	2003-08-18
	Rep	Dealing in futures contracts	-	2004-05-24
HSBC FUTURES (SINGAPORE) PTE LTD	Rep	Advising on futures contracts	-	2003-08-18
	Rep	Asset management	-	2003-08-18
	Rep	Dealing in futures contracts	-	2004-05-24
HSBC SECURITIES (ASIA) LIMITED	Rep	Advising on corporate finance	-	2003-08-18
	Rep	Advising on securities	-	2003-08-18
	Rep	Asset management	-	2003-08-18
	Rep	Dealing in securities	-	2004-05-24

Key Data SFC Licenses Public Disciplinary Actions

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
CCB INTERNATIONAL SECURITIES LIMITED	RO	Dealing in futures contracts	2013-05-02	2023-06-30
	Rep	Advising on securities	2013-01-04	2013-04-29
	Rep	Dealing in securities	2013-01-04	2013-04-29
Marex Hong Kong Limited	Rep	Dealing in futures contracts	2011-07-04	2012-07-30
SG Asset Finance (Hong Kong) Limited	Rep	Dealing in futures contracts	2008-10-13	2011-05-23
	Rep	Dealing in securities	2008-10-13	2011-05-23
Newedge Broker Hong Kong Limited	Rep	Dealing in futures contracts	2008-05-15	2011-05-23
Newedge Broker Limited	Rep	Providing automated trading services	2008-05-15	2009-07-31
	Rep	Dealing in futures contracts	2008-05-15	2009-07-31
	Rep	Dealing in securities	2008-05-15	2009-07-31
UBS DERIVATIVES HONG KONG LIMITED	Rep	Dealing in futures contracts	2006-10-02	2008-04-17
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2006-10-02	2008-04-17
	Rep	Dealing in securities	2006-10-02	2008-04-17
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2006-10-02	2008-04-17
Credit Agricole Securities (Asia) Limited	Rep	Dealing in securities	2004-06-17	2006-09-30
RBS Asia Futures Limited	Rep	Dealing in futures contracts	2004-06-17	2006-09-30
RBS Asia Securities (Hong Kong) Limited	Rep	Dealing in securities	2004-06-17	2005-02-04
HSBC BROKING FUTURES (HONG KONG) LIMITED	Rep	Advising on futures contracts	-	2003-08-18
	Rep	Asset management	-	2003-08-18
	Rep	Dealing in futures contracts	-	2004-05-24
HSBC FUTURES (SINGAPORE) PTE LTD	Rep	Advising on futures contracts	-	2003-08-18
	Rep	Asset management	-	2003-08-18
	Rep	Dealing in futures contracts	-	2004-05-24
HSBC SECURITIES (ASIA) LIMITED	Rep	Advising on corporate finance	-	2003-08-18
	Rep	Advising on securities	-	2003-08-18
	Rep	Asset management	-	2003-08-18
	Rep	Dealing in securities	-	2004-05-24