Xuan Wu
吳軒
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Xuan Wu (吳軒), a licensed former licensee with CE reference AOW803. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CCB International Securities Limited 建銀國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2017-08-18 | 2023-02-27 |
| CCB International Securities Limited 建銀國際證券有限公司 |
RO | Type 4 — Advising on securities | 2017-08-18 | 2023-02-27 |
| CCB International Securities Limited 建銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2017-04-19 | 2017-08-18 |
| CCB International Securities Limited 建銀國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2017-04-19 | 2017-08-18 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 9 — Asset management | 2013-11-27 | 2015-10-13 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2013-11-27 | 2017-03-07 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2013-03-05 | 2017-03-07 |
| Orient Securities (Hong Kong) Limited 東方證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2012-04-13 | 2013-01-31 |
| Orient Asset Management (Hong Kong) Limited 東方資產管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2011-01-25 | 2013-01-31 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2007-06-26 | 2010-11-12 |