Xianao Wu
吳顯鏖
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Xianao Wu (吳顯鏖), a licensed former licensee with CE reference AQM567. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CMB International Securities Limited 招銀國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2017-07-14 | 2017-08-20 |
| CMB International Securities Limited 招銀國際證券有限公司 |
RO | Type 4 — Advising on securities | 2017-04-07 | 2017-08-20 |
| CMB International Securities Limited 招銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2015-05-29 | 2017-07-14 |
| CMB International Asset Management Limited 招銀國際資產管理有限公司 |
RO | Type 4 — Advising on securities | 2015-03-30 | 2017-08-20 |
| CMB International Asset Management Limited 招銀國際資產管理有限公司 |
RO | Type 9 — Asset management | 2015-03-30 | 2017-08-20 |
| CMB International Asset Management Limited 招銀國際資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2015-02-10 | 2015-03-30 |
| CMB International Asset Management Limited 招銀國際資產管理有限公司 |
Rep | Type 9 — Asset management | 2015-02-10 | 2015-03-30 |
| Vision Finance Asset Management Limited 睿智金融資產管理有限公司 |
RO | Type 4 — Advising on securities | 2008-12-17 | 2015-01-01 |
| Vision Finance Asset Management Limited 睿智金融資產管理有限公司 |
RO | Type 9 — Asset management | 2008-04-25 | 2015-01-01 |