Ng, Graham Chi To 伍志濤 Hong Kong SFC License Details (ID 70820)

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.

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Current only

Organisation	Role	Activity	From	Until
Cosmos One Capital Limited	Rep	Advising on securities	2023-03-02	-
	Rep	Dealing in securities	2023-03-02	-
GUOTAI JUNAN FUTURES (HONG KONG) LIMITED	RO	Advising on futures contracts	2019-06-06	2021-04-07
	RO	Dealing in futures contracts	2019-06-06	2021-04-07
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	RO	Advising on securities	2019-06-06	2021-04-07
	RO	Dealing in securities	2019-06-06	2021-04-07
GUOTAI JUNAN FUTURES (HONG KONG) LIMITED	Rep	Advising on futures contracts	2019-04-09	2019-06-06
	Rep	Dealing in futures contracts	2019-04-09	2019-06-06
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2019-04-09	2019-06-06
	Rep	Dealing in securities	2019-04-09	2019-06-06
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	RO	Advising on futures contracts	2016-12-16	2017-03-31
	RO	Dealing in futures contracts	2016-12-16	2017-03-31
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	RO	Advising on securities	2016-12-16	2017-03-31
	RO	Dealing in securities	2016-12-16	2017-03-31
	Rep	Dealing in futures contracts	2016-11-07	2017-03-31
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	Rep	Advising on futures contracts	2016-09-09	2016-12-16
	Rep	Dealing in futures contracts	2016-09-09	2016-12-16
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	Advising on securities	2016-09-09	2016-12-16
	Rep	Dealing in securities	2016-09-09	2016-12-16
BOCI RESEARCH LIMITED	RO	Advising on securities	2011-06-10	2016-05-31
BOCI ASSET MANAGEMENT LIMITED	RO	Asset management	2008-07-11	2014-06-30
BOCI SECURITIES LIMITED	RO	Advising on futures contracts	2006-07-10	2016-05-31
	RO	Advising on securities	2006-07-10	2016-05-31
	RO	Dealing in futures contracts	2006-07-10	2016-05-31
	RO	Dealing in securities	2006-07-10	2016-05-31
	Rep	Advising on futures contracts	2005-11-11	2006-07-10
	Rep	Dealing in futures contracts	2005-11-11	2006-07-10
BOCI COMMODITIES &AMP; FUTURES LIMITED	Rep	Advising on futures contracts	2004-12-15	2011-01-27
BOCI SECURITIES LIMITED	Rep	Advising on securities	2004-12-15	2006-07-10
BOCI COMMODITIES &AMP; FUTURES LIMITED	Rep	Dealing in futures contracts	2004-01-05	2011-01-27
BOCI SECURITIES LIMITED	Rep	Dealing in securities	2004-01-05	2006-07-10
BNP PARIBAS PEREGRINE FUTURES LIMITED	Rep	Advising on futures contracts	2003-04-01	2004-01-05
	Rep	Asset management	2003-04-01	2004-01-05
	Rep	Dealing in futures contracts	2003-04-01	2004-01-05
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-01-05
	Rep	Advising on securities	2003-04-01	2004-01-05
	Rep	Asset management	2003-04-01	2004-01-05
	Rep	Dealing in securities	2003-04-01	2004-01-05