Nan (SFC:AUW139) Wu
吳楠
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Nan (SFC:AUW139) Wu (吳楠), a licensed former licensee with CE reference AUW139. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 - Dealing in securities | 2018-03-02 | 2019-11-09 |
| CITIC CLSA Capital Partners HK Limited 中信證券國際資本(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2018-03-02 | 2019-11-09 |
| CITIC CLSA Capital Partners HK Limited 中信證券國際資本(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2017-09-20 | 2019-08-19 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2011-08-25 | 2016-05-14 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2011-08-25 | 2016-05-14 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2011-08-25 | 2016-05-14 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2010-03-11 | 2010-11-29 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2010-03-11 | 2010-11-29 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2010-03-11 | 2010-11-29 |