Thompson Kuang Ming Wu
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Thompson Kuang Ming Wu, a licensed former licensee with CE reference BSZ207. This person has 1.7 years of SFC licence history. Total licence records on file: 5.
Information
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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 | 2025-07-15 | 2026-06-15 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | 2023-05-31 | 2024-02-14 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | 2023-02-06 | 2023-02-10 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | 2023-01-10 | 2023-01-13 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | 2022-10-25 | 2022-11-04 |