Hok Sau Wu
胡學修
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Hok Sau Wu (胡學修), a licensed former licensee with CE reference ACD001. Total licence records on file: 21.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| ZM Asset Management Limited 正美資產管理有限公司 |
RO | Type 4 — Advising on securities | 2025-07-17 | 2025-11-21 |
| ZM Asset Management Limited 正美資產管理有限公司 |
RO | Type 9 — Asset management | 2025-07-17 | 2025-11-21 |
| Hong Kong Main Fund Securities Limited 香港萬峰證券有限公司 |
RO | Type 4 — Advising on securities | 2025-01-20 | 2025-05-31 |
| Hong Kong Main Fund Securities Limited 香港萬峰證券有限公司 |
RO | Type 9 — Asset management | 2025-01-20 | 2025-05-31 |
| Hong Kong Main Fund Securities Limited 香港萬峰證券有限公司 |
RO | Type 1 — Dealing in securities | 2023-04-24 | 2025-05-31 |
| DT Securities & Futures Co. Limited 大田證券期貨有限公司 |
RO | Type 1 — Dealing in securities | 2021-12-13 | 2022-07-19 |
| DT Securities & Futures Co. Limited 大田證券期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2021-12-13 | 2022-07-19 |
| DT Securities & Futures Co. Limited 大田證券期貨有限公司 |
Rep | Type 1 — Dealing in securities | 2021-04-07 | 2021-12-13 |
| DT Securities & Futures Co. Limited 大田證券期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2021-04-07 | 2021-12-13 |
| Stockwell Securities Limited 常匯證券有限公司 |
Rep | Type 1 — Dealing in securities | 2018-09-07 | 2020-04-23 |
| Stockwell Commodities Limited 常匯商品期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2018-09-07 | 2020-04-23 |
| Prudential Brokerage Limited 信誠證券有限公司 |
Rep | Type 1 — Dealing in securities | 2013-02-18 | 2018-07-31 |
| Prudential Index Trading Company Limited 信誠期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2013-02-18 | 2018-07-31 |
| Prudential Brokerage Limited 信誠證券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2006-05-11 |
| Prudential Index Trading Company Limited 信誠期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2006-05-11 |
| Prudential Brokerage Limited 信誠證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-06-09 |
| Prudential Index Trading Company Limited 信誠期貨有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2004-06-09 |
| Prudential Brokerage Limited 信誠證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-06-09 |
| Prudential Brokerage Limited 信誠證券有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2004-06-09 |
| Prudential Brokerage Limited 信誠證券有限公司 |
Rep | Type 9 — Asset management | present | 2004-06-09 |
| Prudential Index Trading Company Limited 信誠期貨有限公司 |
Rep | Type 9 — Asset management | present | 2004-06-09 |