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NG Siu Kei

吳兆基
CE AUD457Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

NG Siu Kei (CE number AUD457) is an individual licensed by the Hong Kong SFC. First licensed on 2009-12-08. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 5 (Advising on futures), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (5)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerWinbull Securities International (Hong Kong) Limited
盈寶證券國際(香港)有限公司

Licence Record (8)

2022-12-20 – present Current
Winbull Securities International (Hong Kong) Limited RO
RA 1 RA 4 RA 9
2022-10-19 – 2023-12-04
Winbull Securities International (Hong Kong) Limited Rep
RA 1 RA 4 RA 9
2018-04-03 – 2022-08-19
Forthright Securities Company Limited RO
RA 1
2018-02-15 – 2022-08-19
Forthright Securities Company Limited Rep
RA 1 RA 2 RA 4 RA 5
2016-12-07 – 2017-10-11
Fulbright Asset Management Limited Rep
RA 9
2016-10-12 – 2017-10-11
Fulbright Futures Limited Rep
RA 2
2016-07-22 – 2017-10-11
Fulbright Securities Limited RO
RA 1
2009-12-08 – 2016-07-22
Fulbright Securities Limited Rep
RA 1

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/AUD457