Ng, Nicholas Chi Wai 吳志偉

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
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2025-02-13	-
CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2025-02-13	-
CES Commodities (HK) Limited	Rep	Dealing in futures contracts	2018-07-05	2025-01-22
CHINA EVERBRIGHT FOREX &AMP; FUTURES (HK) LIMITED	Rep	Dealing in futures contracts	2018-07-05	2024-12-31
CHINA EVERBRIGHT SECURITIES (HK) LIMITED	Rep	Dealing in securities	2018-07-05	2025-01-22
Everbright Securities Investment Services (HK) Limited	Rep	Dealing in securities	2018-07-05	2025-01-22
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2017-03-06	2018-06-21
CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2017-03-06	2018-06-21
DBS VICKERS (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2005-09-12	2017-02-09
	Rep	Dealing in securities	2005-09-12	2017-02-09
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2004-05-19	2005-09-05
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2004-05-19	2005-09-05
DBS VICKERS (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2003-10-28	2004-05-07
	Rep	Advising on corporate finance	2003-04-01	2003-10-13
	Rep	Asset management	2003-04-01	2003-10-13
	Rep	Advising on securities	2003-04-01	2003-10-20
	Rep	Dealing in securities	2003-04-01	2004-05-07
DBS VICKERS FUTURES (HONG KONG) LIMITED DBS	Rep	Advising on futures contracts	2003-04-01	2003-10-20
	Rep	Asset management	2003-04-01	2003-10-20
	Rep	Dealing in futures contracts	2003-04-01	2003-12-10
DBS VICKERS SECURITIES (HONG KONG) LIMITED DBS	Rep	Advising on corporate finance	2003-04-01	2003-10-20
	Rep	Advising on securities	2003-04-01	2003-10-20
	Rep	Asset management	2003-04-01	2003-10-20
	Rep	Dealing in securities	2003-04-01	2003-10-28

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
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2025-02-13	-
CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2025-02-13	-
CES Commodities (HK) Limited	Rep	Dealing in futures contracts	2018-07-05	2025-01-22
CHINA EVERBRIGHT FOREX &AMP; FUTURES (HK) LIMITED	Rep	Dealing in futures contracts	2018-07-05	2024-12-31
CHINA EVERBRIGHT SECURITIES (HK) LIMITED	Rep	Dealing in securities	2018-07-05	2025-01-22
Everbright Securities Investment Services (HK) Limited	Rep	Dealing in securities	2018-07-05	2025-01-22
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	Dealing in securities	2017-03-06	2018-06-21
CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED	Rep	Dealing in futures contracts	2017-03-06	2018-06-21
DBS VICKERS (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2005-09-12	2017-02-09
	Rep	Dealing in securities	2005-09-12	2017-02-09
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2004-05-19	2005-09-05
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2004-05-19	2005-09-05
DBS VICKERS (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2003-10-28	2004-05-07
	Rep	Advising on corporate finance	2003-04-01	2003-10-13
	Rep	Asset management	2003-04-01	2003-10-13
	Rep	Advising on securities	2003-04-01	2003-10-20
	Rep	Dealing in securities	2003-04-01	2004-05-07
DBS VICKERS FUTURES (HONG KONG) LIMITED DBS	Rep	Advising on futures contracts	2003-04-01	2003-10-20
	Rep	Asset management	2003-04-01	2003-10-20
	Rep	Dealing in futures contracts	2003-04-01	2003-12-10
DBS VICKERS SECURITIES (HONG KONG) LIMITED DBS	Rep	Advising on corporate finance	2003-04-01	2003-10-20
	Rep	Advising on securities	2003-04-01	2003-10-20
	Rep	Asset management	2003-04-01	2003-10-20
	Rep	Dealing in securities	2003-04-01	2003-10-28