Tuan-Wen Jerry Wu
吳傳文
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Tuan-Wen Jerry Wu (吳傳文), a licensed former licensee with CE reference AFC558. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Fubon Securities (Hong Kong) Limited 富邦證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2012-05-18 | 2015-10-18 |
| Fubon Securities (Hong Kong) Limited 富邦證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2012-05-18 | 2015-10-18 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
RO | Type 4 — Advising on securities | 2008-06-23 | 2010-04-01 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2005-03-09 | 2010-04-01 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2005-03-09 | 2010-04-01 |
| KGI Asia Limited 凱基證券亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2003-11-14 | 2005-03-09 |
| KGI Futures (Hong Kong) Limited 凱基期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2003-11-14 | 2005-03-09 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-09-16 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 — Dealing in futures contracts | present | 2003-09-16 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-09-16 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-09-16 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-09-16 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 7 — Providing automated trading services | present | 2003-09-16 |