Xiao Wu
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Xiao Wu (吳筱), a licensed Responsible Officer with CE reference AOS437. Currently licensed at 1 firm(s): Kam Luen Securities Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 10.2 years of SFC licence history. Total licence records on file: 15.
Information
- LinkedIn:
- Email:
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Kam Luen Securities Limited 金鑾證券有限公司 |
RO | Type 1 - Dealing in securities | 2022-08-16 | present |
| Kam Luen Securities Limited 金鑾證券有限公司 |
RO | Type 4 - Advising on securities | 2022-08-16 | present |
| Kam Luen Securities Limited 金鑾證券有限公司 |
RO | Type 9 - Asset management | 2022-08-16 | present |
| Founder Futures (Hong Kong) Limited 方正期貨(香港)有限公司 |
RO | Type 2 - Dealing in futures contracts | 2021-01-19 | 2021-01-25 |
| Founder Futures (Hong Kong) Limited 方正期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2020-09-11 | 2020-09-11 |
| Founder Asset Management (Hong Kong) Limited 方正資產管理(香港)有限公司 |
RO | Type 4 - Advising on securities | 2020-05-13 | 2021-02-26 |
| Founder Asset Management (Hong Kong) Limited 方正資產管理(香港)有限公司 |
RO | Type 9 - Asset management | 2020-05-13 | 2021-02-26 |
| Founder Securities (Hong Kong) Limited 方正證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2019-11-28 | 2021-01-25 |
| Founder Futures (Hong Kong) Limited 方正期貨(香港)有限公司 |
RO | Type 2 - Dealing in futures contracts | 2019-11-28 | 2020-09-11 |
| Founder Securities (Hong Kong) Limited 方正證券(香港)有限公司 |
RO | Type 4 - Advising on securities | 2019-11-28 | 2021-01-25 |
| Founder Securities (Hong Kong) Capital Company Limited 方正證券(香港)融資有限公司 |
RO | Type 1 - Dealing in securities | 2018-06-01 | 2019-12-30 |
| Founder Securities (Hong Kong) Capital Company Limited 方正證券(香港)融資有限公司 |
RO | Type 6 - Advising on corporate finance | 2018-06-01 | 2021-01-25 |
| CMS Asset Management (HK) Co., Limited 招商證券資產管理(香港)有限公司 |
Rep | Type 9 - Asset management | 2009-06-08 | 2010-11-01 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2007-03-23 | 2008-06-28 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
Rep | Type 9 - Asset management | 2007-03-23 | 2009-05-26 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Xiao Wu during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.