George Chen Yu Koo
顧震宇
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for George Chen Yu Koo (顧震宇), a licensed former licensee with CE reference ABU687. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Wells Fargo Securities Asia Limited | RO | Type 9 — Asset management | 2019-06-19 | 2023-02-24 |
| Wells Fargo Securities Asia Limited | RO | Type 1 — Dealing in securities | 2015-03-18 | 2023-03-24 |
| Wells Fargo Securities Asia Limited | RO | Type 4 — Advising on securities | 2015-03-18 | 2023-03-24 |
| Wells Fargo Securities Asia Limited | RO | Type 6 — Advising on corporate finance | 2015-03-18 | 2023-03-24 |
| Wells Fargo Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2014-04-04 | 2015-03-18 |
| Wells Fargo Securities Asia Limited | Rep | Type 4 — Advising on securities | 2014-04-04 | 2015-03-18 |
| Wells Fargo Securities Asia Limited | Rep | Type 6 — Advising on corporate finance | 2014-04-04 | 2015-03-18 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2010-12-17 | 2011-01-01 |
| RBS Asia Corporate Finance Limited 蘇皇融資亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2010-12-17 | 2011-01-01 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 — Dealing in securities | present | 2006-06-06 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2006-06-06 |