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NG Yiu Man

吳耀文
CE AGJ090Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

NG Yiu Man (CE number AGJ090) is an individual licensed by the Hong Kong SFC. First licensed on 2003-04-01. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 6 (Corporate finance), Type 7 (Automated trading), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (6)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance
RA 7 Providing Automated Trading Services
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerHenyep Securities Limited
興業證券有限公司

Licence Record (4)

2006-01-04 – present Current
Henyep Securities Limited RO
RA 1
2020-06-15 – 2021-03-26
Peak Cloud Limited Rep
RA 2
2019-12-05 – 2023-03-31
Peak Cloud Limited RO
RA 1 RA 2
2003-04-01 – 2023-05-15
Henyep Securities Limited Rep
RA 1 RA 4 RA 6 RA 7 RA 9

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/AGJ090