Eric Kwok Yan Wu
伍國忻
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Eric Kwok Yan Wu (伍國忻), a licensed Representative with CE reference AVL147. Currently licensed at 1 firm(s): JPMorgan Asset Management (Asia Pacific) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts; Type 9 - Asset management. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| JPMorgan Asset Management (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2022-11-04 | present |
| JPMorgan Asset Management (Asia Pacific) Limited | Rep | Type 2 - Dealing in futures contracts | 2022-11-04 | present |
| JPMorgan Asset Management (Asia Pacific) Limited | Rep | Type 9 - Asset management | 2022-11-04 | present |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | 2021-08-26 | 2022-09-02 |
| UBS Securities Hong Kong Limited | Rep | Type 7 - Providing automated trading services | 2021-08-26 | 2022-09-02 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | 2021-08-03 | 2022-09-02 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | 2021-08-03 | 2022-09-02 |
| Macquarie Asia Securities Limited |
Rep | Type 1 - Dealing in securities | 2020-09-30 | 2021-06-04 |
| Macquarie Asia Securities Limited |
Rep | Type 4 - Advising on securities | 2020-09-30 | 2021-06-04 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 - Dealing in securities | 2010-06-30 | 2012-11-30 |