Tao Thomas Wu
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Tao Thomas Wu ( ), a licensed former licensee with CE reference AUA520. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Ark Group Holdings (Hong Kong) Limited 方舟集團控股（香港）有限公司 |
RO | Type 1 — Dealing in securities | 2012-01-04 | 2013-12-31 |
| Ark Group Holdings (Hong Kong) Limited 方舟集團控股（香港）有限公司 |
RO | Type 4 — Advising on securities | 2012-01-04 | 2013-12-31 |
| Ark Group Holdings (Hong Kong) Limited 方舟集團控股（香港）有限公司 |
RO | Type 9 — Asset management | 2012-01-04 | 2013-12-31 |
| AllianceBernstein Hong Kong Limited 聯博香港有限公司 |
Rep | Type 4 — Advising on securities | 2010-01-28 | 2010-01-29 |
| AllianceBernstein Hong Kong Limited 聯博香港有限公司 |
Rep | Type 4 — Advising on securities | 2009-11-02 | 2009-11-06 |