Barbara Wong
黃曼君
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Barbara Wong (黃曼君), a licensed former licensee with CE reference AQU335. Total licence records on file: 15.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Wells Fargo Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2020-12-15 | 2021-01-08 |
| Wells Fargo Securities Asia Limited | Rep | Type 4 — Advising on securities | 2020-12-15 | 2021-01-08 |
| Wells Fargo Securities Asia Limited | Rep | Type 6 — Advising on corporate finance | 2020-12-15 | 2021-01-08 |
| Wells Fargo Securities Asia Limited | RO | Type 1 — Dealing in securities | 2015-07-20 | 2020-12-15 |
| Wells Fargo Securities Asia Limited | RO | Type 4 — Advising on securities | 2015-07-20 | 2020-12-15 |
| Wells Fargo Securities Asia Limited | RO | Type 6 — Advising on corporate finance | 2015-07-20 | 2020-12-15 |
| Wells Fargo Securities Asia Limited | Rep | Type 1 — Dealing in securities | 2014-12-09 | 2015-07-20 |
| Wells Fargo Securities Asia Limited | Rep | Type 4 — Advising on securities | 2014-12-09 | 2015-07-20 |
| Wells Fargo Securities Asia Limited | Rep | Type 6 — Advising on corporate finance | 2014-12-09 | 2015-07-20 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
RO | Type 1 — Dealing in securities | 2014-07-17 | 2014-08-14 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | 2014-07-17 | 2014-08-14 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2010-11-09 | 2014-07-17 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2010-11-09 | 2014-07-17 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2008-04-07 | 2010-09-01 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2008-04-07 | 2010-09-01 |