NG Kwok Ming

吳國明

CE AWA039Licensed IndividualSFO licence active

NG Kwok Ming (CE number AWA039) is an individual licensed by the Hong Kong SFC. First licensed on 2010-10-05. 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 9 (Asset management).

Regulated Activities (on record) (6)

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 9 Asset Management

Roles & Accreditations (1)

Capacity	Company / Institution
Representative	BTIG Hong Kong Limited

Licence Record (11)

2021-09-16 – present Current

BTIG Hong Kong Limited Rep

RA 1

2020-01-24 – 2021-08-20

GF International Investment Management Limited Rep

RA 1 RA 9

2019-10-29 – 2020-01-17

Founder Securities (Hong Kong) Limited Rep

RA 1

2019-10-29 – 2020-01-17

Founder Futures (Hong Kong) Limited Rep

RA 2

2015-05-06 – 2019-10-16

SDIC Securities (Hong Kong) Limited Rep

RA 1

2015-05-06 – 2019-10-16

SDIC Securities Futures (Hong Kong) Limited Rep

RA 2

2014-06-13 – 2015-02-27

China Securities (International) Brokerage Company Limited Rep

RA 1 RA 2 RA 4 RA 5

2013-08-21 – 2014-06-09

China Merchants Securities (HK) Co., Limited Rep

RA 1

2013-08-21 – 2014-06-09

China Merchants Futures (HK) Co., Limited Rep

RA 2 RA 5

2010-10-05 – 2013-08-10

Phillip Securities (Hong Kong) Limited Rep

RA 1

2010-10-05 – 2013-08-10

Phillip Commodities (HK) Limited Rep

RA 2 RA 3 RA 5

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/AWA039