Tracy Ka Ling Woo
吳家寧
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Tracy Ka Ling Woo (吳家寧), a licensed former licensee with CE reference AKP398. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Kingsway Financial Services Group Limited 滙富金融服務有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2009-06-15 | 2012-03-29 |
| Kingsway Financial Services Group Limited 滙富金融服務有限公司 |
Rep | Type 1 — Dealing in securities | 2008-10-13 | 2012-03-29 |
| BOCOM International Securities Limited 交銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2008-05-29 | 2008-09-02 |
| Platinum Broking Company Limited 百德能經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2005-10-17 | 2008-05-01 |
| Kingsway Financial Services Group Limited 滙富金融服務有限公司 |
Rep | Type 1 — Dealing in securities | 2004-12-09 | 2004-12-09 |
| Kingsway Financial Services Group Limited 滙富金融服務有限公司 |
Rep | Type 4 — Advising on securities | 2004-12-09 | 2005-09-12 |
| Platinum Broking Company Limited 百德能經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2004-07-03 | 2004-11-12 |