Alex Pin-der Wu
吳品德
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Alex Pin-der Wu (吳品德), a licensed Responsible Officer with CE reference ANM976. Currently licensed at 1 firm(s): Cortina Capital Asset Management Limited. Active regulated activities: Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Cortina Capital Asset Management Limited |
RO | Type 4 — Advising on securities | 2021-10-15 | present |
| Cortina Capital Asset Management Limited |
RO | Type 9 — Asset management | 2021-10-15 | present |
| Isola Capital Asset Management Limited 道源資產管理有限公司 |
RO | Type 1 — Dealing in securities | 2017-04-25 | 2019-07-15 |
| Isola Capital Asset Management Limited 道源資產管理有限公司 |
RO | Type 4 — Advising on securities | 2017-04-25 | 2019-07-15 |
| Isola Capital Asset Management Limited 道源資產管理有限公司 |
RO | Type 9 — Asset management | 2017-04-25 | 2019-07-15 |
| Isola Capital Asset Management Limited 道源資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2014-04-30 | 2017-04-25 |
| Isola Capital Asset Management Limited 道源資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2014-04-30 | 2017-04-25 |
| Isola Capital Asset Management Limited 道源資產管理有限公司 |
Rep | Type 9 — Asset management | 2014-04-30 | 2017-04-25 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2006-06-16 | 2007-06-20 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 — Dealing in securities | 2006-06-16 | 2007-06-20 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2006-06-16 | 2007-06-20 |