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NG Siu Wai

伍兆威
CE AYD102Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

NG Siu Wai (CE number AYD102) is an individual licensed by the Hong Kong SFC. First licensed on 2011-09-27. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 6 (Corporate finance), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance
RA 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerVMS Asset Management Limited
鼎珮資產管理有限公司
RepresentativeVMS Securities Limited
鼎珮證券有限公司

Licence Record (5)

2018-11-06 – present Current
VMS Asset Management Limited RO
RA 4 RA 9
2017-05-31 – present Current
VMS Securities Limited Rep
RA 1 RA 4 RA 9
2018-03-20 – 2019-03-20
VMS Securities Limited RO
RA 9
2016-12-06 – 2017-02-04
Zheng He Capital Management Limited Rep
RA 4 RA 9
2011-09-27 – 2016-01-21
Barclays Capital Asia Limited Rep
RA 1 RA 4 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/AYD102