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WO Ki

鄔奇
CE AGW234Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

WO Ki (CE number AGW234) 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 3 (Leveraged FX), Type 4 (Advising on securities), Type 5 (Advising on futures), Type 6 (Corporate finance), Type 7 (Automated trading), Type 8 (Securities margin financing), Type 9 (Asset management). Currently a responsible officer at 4 firms.

Regulated Activities (on record) (9)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 3 Leveraged Foreign Exchange Trading
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts
RA 6 Advising on Corporate Finance
RA 7 Providing Automated Trading Services
RA 8 Securities Margin Financing
RA 9 Asset Management

Roles & Accreditations (4)

CapacityCompany / Institution
Responsible OfficerHSBC Broking Forex (Asia) Limited
滙豐金融外匯(亞洲)有限公司
Responsible OfficerHSBC Broking Futures (Asia) Limited
滙豐金融期貨(亞洲)有限公司
Responsible OfficerHSBC Broking Securities (Asia) Limited
滙豐金融證券(亞洲)有限公司
Responsible OfficerHSBC Broking Securities (Hong Kong) Limited
滙豐金融證券(香港)有限公司

Licence Record (16)

2014-07-29 – present Current
HSBC Broking Securities (Hong Kong) Limited RO
RA 1
2014-07-29 – present Current
HSBC Broking Securities (Asia) Limited RO
RA 1 RA 4
2014-07-29 – present Current
HSBC Broking Futures (Asia) Limited RO
RA 2
2014-07-29 – present Current
HSBC Broking Forex (Asia) Limited RO
RA 3
2014-07-04 – 2017-11-21
HSBC Broking Securities (Asia) Limited Rep
RA 1 RA 4
2014-07-04 – 2014-07-29
HSBC Broking Securities (Hong Kong) Limited Rep
RA 1
2014-07-04 – 2014-07-29
HSBC Broking Futures (Asia) Limited Rep
RA 2
2014-07-04 – 2014-07-29
HSBC Broking Forex (Asia) Limited Rep
RA 3
2011-08-08 – 2014-06-12
CES Forex (HK) Limited Rep
RA 3
2011-08-08 – 2014-06-12
Everbright Securities Digital Finance (HK) Limited RO
RA 1
2005-07-28 – 2014-06-12
Everbright Securities Investment Services (HK) Limited RO
RA 1 RA 4
2005-07-28 – 2014-06-12
CES Commodities (HK) Limited RO
RA 2
2003-04-01 – 2014-06-12
Bright Fund Management Limited Rep
RA 1 RA 4 RA 6 RA 9
2003-04-01 – 2010-09-01
Everbright Securities Investment Services (HK) Limited Rep
RA 1 RA 4 RA 6 RA 7 RA 9
2003-04-01 – 2005-07-28
CES Commodities (HK) Limited Rep
RA 2 RA 5 RA 9
2003-04-01 – 2004-10-21
Sun Tai Cheung Credits Limited RO
RA 8

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/AGW234