Charles Kun Woo
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Charles Kun Woo ( ), a licensed former licensee with CE reference AHS996. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| China Silver Asset Management (Hong Kong) Limited | RO | Type 9 — Asset management | 2009-12-02 | 2015-01-08 |
| Evo Capital Management Asia Limited |
RO | Type 9 — Asset management | 2007-08-22 | 2009-10-31 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-10-07 |
| 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 | 2003-08-09 |
| 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 7 — Providing automated trading services | 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 |