Carol Shu-Yen Wu
吳淑燕
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Carol Shu-Yen Wu (吳淑燕), a licensed former licensee with CE reference AQA850. This person has 14.7 years of SFC licence history. Total licence records on file: 4.
Information
- LinkedIn:
- Email:
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| DBS Vickers (Hong Kong) Limited 星展唯高達香港有限公司 |
RO | Type 1 - Dealing in securities | 2019-04-09 | 2022-08-17 |
| DBS Vickers (Hong Kong) Limited 星展唯高達香港有限公司 |
RO | Type 2 - Dealing in futures contracts | 2019-04-09 | 2021-11-15 |
| DBS Vickers (Hong Kong) Limited 星展唯高達香港有限公司 |
RO | Type 4 - Advising on securities | 2015-10-29 | 2022-08-17 |
| DBS Vickers (Hong Kong) Limited 星展唯高達香港有限公司 |
Rep | Type 4 - Advising on securities | 2007-11-26 | 2015-10-29 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Carol Shu-Yen 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.