Zhao Wu
吳兆
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Zhao Wu (吳兆), a licensed former licensee with CE reference AOE446. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| GAM Hong Kong Limited 環球投資(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2015-03-09 | 2018-06-29 |
| GAM Hong Kong Limited 環球投資(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2015-03-09 | 2018-06-29 |
| Mason Securities Limited 茂宸證券有限公司 |
Rep | Type 1 — Dealing in securities | 2013-08-21 | 2015-02-17 |
| SBI China Capital Securities Limited 軟庫中華金融證券有限公司 |
Rep | Type 1 — Dealing in securities | 2008-02-22 | 2008-04-15 |
| SBI China Capital Commodities Limited 軟庫中華金融期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2006-11-21 | 2008-04-15 |