Chun Nam Dennis Wu
吳振南
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Chun Nam Dennis Wu (吳振南), a licensed former licensee with CE reference BDA598. Total licence records on file: 19.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Brilliant Norton Securities Company Limited 億聲證券有限公司 |
RO | Type 1 — Dealing in securities | 2019-07-24 | 2023-01-31 |
| Brilliant Norton Securities Company Limited 億聲證券有限公司 |
RO | Type 4 — Advising on securities | 2019-07-24 | 2023-01-31 |
| Brilliant Norton Securities Company Limited 億聲證券有限公司 |
Rep | Type 1 — Dealing in securities | 2019-07-22 | 2019-07-24 |
| Brilliant Norton Securities Company Limited 億聲證券有限公司 |
Rep | Type 4 — Advising on securities | 2019-07-22 | 2019-07-24 |
| CLC Securities Limited 創僑證券有限公司 |
RO | Type 1 — Dealing in securities | 2019-04-02 | 2019-06-18 |
| CLC Futures Limited 創僑期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2019-04-02 | 2019-06-18 |
| CLC Securities Limited 創僑證券有限公司 |
RO | Type 4 — Advising on securities | 2019-04-02 | 2019-06-18 |
| CLC Futures Limited 創僑期貨有限公司 |
RO | Type 5 — Advising on futures contracts | 2019-04-02 | 2019-06-18 |
| CLC Securities Limited 創僑證券有限公司 |
Rep | Type 1 — Dealing in securities | 2019-03-22 | 2019-04-02 |
| CLC Securities Limited 創僑證券有限公司 |
Rep | Type 4 — Advising on securities | 2019-03-22 | 2019-04-02 |
| Brilliant Norton Securities Company Limited 億聲證券有限公司 |
RO | Type 1 — Dealing in securities | 2018-03-23 | 2019-03-15 |
| Brilliant Norton Securities Company Limited 億聲證券有限公司 |
RO | Type 4 — Advising on securities | 2018-03-23 | 2019-03-15 |
| Brilliant Norton Securities Company Limited 億聲證券有限公司 |
Rep | Type 1 — Dealing in securities | 2018-03-07 | 2018-03-23 |
| Orient Securities (Hong Kong) Limited 東方證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2016-08-30 | 2018-01-15 |
| Orient Futures (Hong Kong) Limited 東方期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2016-08-30 | 2018-01-15 |
| Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2014-11-04 | 2016-08-16 |
| Phillip Commodities (HK) Limited 輝立商品(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2014-11-04 | 2016-08-16 |
| Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2014-03-06 | 2014-07-08 |
| Phillip Commodities (HK) Limited 輝立商品(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2014-03-06 | 2014-07-08 |