Chi-ing Ng

Last updated
1 week ago
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Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

  • Qiying Financial Limited

    FRN 843432

    • 8. Giving personal recommendations on investments in the course of corporate finance business
    • 2. Giving personal recommendations on securities which are not stakeholder pension schemes or personal pension schemes or broker funds
    • [FCA CF] Significant management (since 9 Dec 2019)
    • SMF17 Money Laundering Reporting Officer (MLRO) (since 9 Dec 2019)
    • SMF3 Executive Director (since 9 Dec 2019)
    • [FCA CF] Benchmark submission and administration (since 9 Dec 2019)
    • [FCA CF] Client dealing (since 9 Dec 2019)
    • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
    • SMF16 Compliance Oversight (since 9 Dec 2019)
    • CF1 Director (2 Sep 2019 to 8 Dec 2019)
    • CF10 Compliance Oversight (2 Sep 2019 to 8 Dec 2019)
    • CF11 Money Laundering Reporting (2 Sep 2019 to 8 Dec 2019)
    • CF30 Customer (2 Sep 2019 to 8 Dec 2019)
  • PIPER SANDLER LTD. (no longer approved here)

    FRN 191657

    • CF30 Customer (14 Mar 2008 to 23 Apr 2008)

Recent activity

Updates to this individual's record on the FCA register.

No changes recorded yet.