Huai-En Wu
吳懷恩
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Huai-En Wu (吳懷恩), a licensed former licensee with CE reference BDM852. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| First Prosperous Asset Management Company Limited 瀚盛資產管理有限公司 |
RO | Type 4 — Advising on securities | 2019-11-08 | 2020-09-21 |
| First Prosperous Asset Management Company Limited 瀚盛資產管理有限公司 |
RO | Type 9 — Asset management | 2019-11-08 | 2020-09-21 |
| JT International Financial Limited 金泰國際金融有限公司 |
RO | Type 4 — Advising on securities | 2019-03-22 | 2019-05-15 |
| JT International Financial Limited 金泰國際金融有限公司 |
RO | Type 9 — Asset management | 2019-03-22 | 2019-05-15 |
| Renco Investments Limited 融科投資有限公司 |
RO | Type 4 — Advising on securities | 2018-02-09 | 2018-02-14 |
| Renco Investments Limited 融科投資有限公司 |
RO | Type 9 — Asset management | 2018-02-09 | 2018-02-14 |
| China Securities (International) Asset Management Company Limited 中信建投(國際)資產管理有限公司 |
RO | Type 4 — Advising on securities | 2016-01-27 | 2017-01-10 |
| China Securities (International) Asset Management Company Limited 中信建投(國際)資產管理有限公司 |
RO | Type 9 — Asset management | 2016-01-27 | 2017-01-10 |
| China Securities (International) Asset Management Company Limited 中信建投(國際)資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2015-11-09 | 2016-01-27 |
| China Securities (International) Asset Management Company Limited 中信建投(國際)資產管理有限公司 |
Rep | Type 9 — Asset management | 2015-11-09 | 2016-01-27 |
| China Securities (International) Brokerage Company Limited 中信建投(國際)証券有限公司 |
Rep | Type 1 — Dealing in securities | 2014-05-29 | 2017-01-10 |
| China Securities (International) Brokerage Company Limited 中信建投(國際)証券有限公司 |
Rep | Type 4 — Advising on securities | 2014-05-29 | 2017-01-10 |