Daniel I Kwei Wu
吳一揆
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Daniel I Kwei Wu (吳一揆), a licensed former licensee with CE reference ABU360. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CTBC Asia Limited 中國信託綜合證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2006-03-13 | 2022-08-01 |
| CTBC Asia Limited 中國信託綜合證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2006-03-13 | 2022-08-01 |
| CTBC Asia Limited 中國信託綜合證券(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2006-03-13 | 2022-08-01 |
| CTBC Asia Limited 中國信託綜合證券(香港)有限公司 |
RO | Type 9 — Asset management | 2006-03-13 | 2022-08-01 |
| KGI Wealth Management Limited 凱基財富管理有限公司 |
RO | Type 1 — Dealing in securities | 2005-05-30 | 2005-10-07 |
| KGI Wealth Management Limited 凱基財富管理有限公司 |
RO | Type 4 — Advising on securities | 2005-05-30 | 2005-10-07 |
| KGI Wealth Management Limited 凱基財富管理有限公司 |
RO | Type 6 — Advising on corporate finance | 2005-05-30 | 2005-10-07 |
| KGI Wealth Management Limited 凱基財富管理有限公司 |
Rep | Type 4 — Advising on securities | 2004-10-25 | 2005-05-30 |
| KGI Wealth Management Limited 凱基財富管理有限公司 |
Rep | Type 6 — Advising on corporate finance | 2004-10-25 | 2005-05-30 |
| KGI Wealth Management Limited 凱基財富管理有限公司 |
Rep | Type 1 — Dealing in securities | 2004-08-30 | 2005-05-30 |
| KGI Wealth Management Limited 凱基財富管理有限公司 |
Rep | Type 9 — Asset management | 2004-08-30 | 2005-03-18 |
| CTBC Asia Limited 中國信託綜合證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2004-01-14 | 2004-03-15 |
| CTBC Asia Limited 中國信託綜合證券(香港)有限公司 |
RO | Type 9 — Asset management | 2004-01-14 | 2004-03-15 |