Yat Wai Wu
胡一威
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yat Wai Wu (胡一威), a licensed former licensee with CE reference ACW474. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2005-05-24 | 2016-05-31 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 4 — Advising on securities | 2005-05-24 | 2016-05-31 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
RO | Type 4 — Advising on securities | 2004-05-18 | 2005-05-20 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-05-18 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-08-09 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 9 — Asset management | present | 2003-08-09 |