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NGAI To Nam

倪圖南
CE AVV214Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

NGAI To Nam (CE number AVV214) is an individual licensed by the Hong Kong SFC. First licensed on 2010-08-31. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 6 (Corporate finance). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (2)

RA 1 Dealing in Securities
RA 6 Advising on Corporate Finance

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerPing An of China Capital (Hong Kong) Company Limited
中國平安資本(香港)有限公司
Responsible OfficerPing An Securities (Hong Kong) Company Limited
平安證券（香港）有限公司

Licence Record (8)

2021-06-22 – present Current
Ping An Securities (Hong Kong) Company Limited RO
RA 1
2021-06-22 – present Current
Ping An of China Capital (Hong Kong) Company Limited RO
RA 6
2021-04-15 – 2021-06-22
Ping An Securities (Hong Kong) Company Limited Rep
RA 1
2021-04-15 – 2021-06-22
Ping An of China Capital (Hong Kong) Company Limited Rep
RA 6
2018-10-29 – 2020-03-04
Pine Peak Corporate Finance Limited Rep
RA 1
2018-05-10 – 2021-03-20
Pine Peak Corporate Finance Limited RO
RA 1 RA 6
2012-09-03 – 2018-05-03
China Galaxy International Securities (Hong Kong) Co., Limited Rep
RA 6
2010-08-31 – 2012-08-25
Piper Jaffray Asia Limited Rep
RA 6

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/AVV214