Shiau Ling Mary Wu
吳小凌
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shiau Ling Mary Wu (吳小凌), a licensed former licensee with CE reference BBE411. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2013-12-23 | 2014-07-22 |
| Core Pacific-Yamaichi Securities (H.K.) Limited 京華山一證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2013-12-23 | 2014-07-22 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2013-12-23 | 2014-07-22 |
| Principal Investment & Retirement Services Limited 信安投資及退休金服務有限公司 |
Rep | Type 1 - Dealing in securities | 2013-05-20 | 2013-12-12 |
| Principal Investment & Retirement Services Limited 信安投資及退休金服務有限公司 |
Rep | Type 4 - Advising on securities | 2013-05-20 | 2013-12-12 |