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NG Siu Fai

吳紹徽
CE AWS462Licensed IndividualSFO licence active
Official SFC record

NG Siu Fai (CE number AWS462) is an individual licensed by the Hong Kong SFC. First licensed on 2011-01-28. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 9 (Asset management).

Regulated Activities (on record) (4)

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

Roles & Accreditations (4)

CapacityCompany / Institution
RepresentativeEmperor Asset Management Limited
英皇資產管理有限公司
RepresentativeEmperor Futures Limited
英皇期貨有限公司
RepresentativeEmperor Securities Limited
英皇證券有限公司
RepresentativeEmperor Wealth Management Limited
英皇財富管理有限公司

Licence Record (4)

2024-03-28 – present Current
Emperor Asset Management Limited Rep
RA 9
2013-03-26 – present Current
Emperor Futures Limited Rep
RA 2
2011-01-28 – present Current
Emperor Securities Limited Rep
RA 1 RA 4
2011-01-28 – present Current
Emperor Wealth Management Limited Rep
RA 1 RA 4

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/AWS462