Warren Charles Wu
吳華倫
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Warren Charles Wu (吳華倫), a licensed former licensee with CE reference AUZ061. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| UBS Securities Hong Kong Limited | Rep | Type 6 - Advising on corporate finance | 2018-08-15 | 2025-09-29 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 1 - Dealing in securities | 2014-06-23 | 2018-03-09 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 4 - Advising on securities | 2014-06-23 | 2018-03-09 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 6 - Advising on corporate finance | 2014-06-23 | 2018-03-09 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 1 - Dealing in securities | 2012-01-13 | 2013-01-11 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 4 - Advising on securities | 2012-01-13 | 2013-01-11 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 6 - Advising on corporate finance | 2012-01-13 | 2013-01-11 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2010-03-31 | 2011-06-15 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2010-03-31 | 2011-06-15 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2010-03-31 | 2011-06-15 |