Carrie Ka Wai Wu
胡嘉慧
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Carrie Ka Wai Wu (胡嘉慧), a licensed Responsible Officer with CE reference AMF133. Currently licensed at 4 firm(s): Crosby Securities Limited, Emperor Securities Limited, Emperor Wealth Management Limited, Emperor Asset Management Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 21.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Crosby Securities Limited 高誠證券有限公司 |
RO | Type 1 — Dealing in securities | 2025-12-24 | present |
| Crosby Securities Limited 高誠證券有限公司 |
RO | Type 4 — Advising on securities | 2025-12-24 | present |
| Crosby Securities Limited 高誠證券有限公司 |
RO | Type 9 — Asset management | 2025-12-24 | present |
| Emperor Securities Limited 英皇證券有限公司 |
RO | Type 1 — Dealing in securities | 2025-06-26 | present |
| Emperor Wealth Management Limited 英皇財富管理有限公司 |
RO | Type 1 — Dealing in securities | 2025-06-26 | present |
| Emperor Asset Management Limited 英皇資產管理有限公司 |
RO | Type 4 — Advising on securities | 2025-06-26 | present |
| Emperor Securities Limited 英皇證券有限公司 |
RO | Type 4 — Advising on securities | 2025-06-26 | present |
| Emperor Wealth Management Limited 英皇財富管理有限公司 |
RO | Type 4 — Advising on securities | 2025-06-26 | present |
| Emperor Asset Management Limited 英皇資產管理有限公司 |
RO | Type 9 — Asset management | 2025-06-26 | present |
| Crosby Securities Limited 高誠證券有限公司 |
RO | Type 9 — Asset management | 2022-08-01 | 2025-04-15 |
| Crosby Securities Limited 高誠證券有限公司 |
RO | Type 1 — Dealing in securities | 2017-05-05 | 2025-04-15 |
| Crosby Securities Limited 高誠證券有限公司 |
RO | Type 4 — Advising on securities | 2017-05-05 | 2025-04-15 |
| Crosby Securities Limited 高誠證券有限公司 |
Rep | Type 9 — Asset management | 2015-12-09 | 2022-08-01 |
| Crosby Securities Limited 高誠證券有限公司 |
Rep | Type 1 — Dealing in securities | 2015-10-08 | 2017-05-05 |
| Crosby Securities Limited 高誠證券有限公司 |
Rep | Type 4 — Advising on securities | 2015-10-08 | 2017-05-05 |
| Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2014-09-30 | 2015-09-18 |
| Guosen Securities (HK) Brokerage Company, Limited 國信證券(香港)經紀有限公司 |
Rep | Type 4 — Advising on securities | 2014-09-30 | 2015-09-18 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2006-07-07 | 2007-08-03 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 2 — Dealing in futures contracts | 2006-07-07 | 2007-08-03 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2005-07-07 | 2006-07-01 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2005-07-07 | 2006-07-01 |