James Yun Wu
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Yun Wu ( ), a licensed former licensee with CE reference AGN747. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2015-10-12 | 2015-10-16 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2015-05-04 | 2015-05-08 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2014-09-22 | 2014-09-30 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | present | 2009-05-13 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | present | 2005-03-24 |
| UBS Securities Asia Limited | Rep | Type 6 - Advising on corporate finance | present | 2005-03-24 |
| UBS Securities Asia Limited | Rep | Type 9 - Asset management | present | 2005-03-24 |