Wu, Chiang Li 吳強立

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SFC licenses

Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.

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Organisation Role Activity From Until
1 China Securities (International) Brokerage Company Limited Rep Advising on securities 2018-10-22 2019-01-04
Rep Dealing in futures contracts 2018-10-22 2019-01-04
Rep Dealing in securities 2018-10-22 2019-01-04
Rep Advising on futures contracts 2018-11-12 2019-01-04
RO Advising on futures contracts 2019-01-04 2020-05-15
RO Advising on securities 2019-01-04 2020-05-15
RO Dealing in futures contracts 2019-01-04 2020-05-15
RO Dealing in securities 2019-01-04 2020-05-15
2 GRAND CATHAY SECURITIES (HONG KONG) LIMITED RO Dealing in securities 2017-05-23 2017-10-02
3 KGI ASIA LIMITED Rep Dealing in securities 2005-04-20 2006-01-21
RO Advising on securities 2006-01-21 2011-01-01
RO Dealing in securities 2006-01-21 2011-01-01
Rep Advising on securities 2014-10-22 2015-02-02
Rep Dealing in securities 2014-10-22 2015-02-02
RO Advising on securities 2015-02-02 2017-10-02
RO Dealing in securities 2015-02-02 2017-10-02
RO Advising on securities 2017-10-03 2018-09-18
RO Dealing in securities 2017-10-03 2018-09-18
Rep Dealing in securities 2020-11-05 2023-02-13
4 KGI Asset Management Limited RO Advising on securities 2016-07-26 2018-09-18
RO Dealing in securities 2016-07-26 2018-09-18
5 KGI FUTURES (HONG KONG) LIMITED RO Dealing in futures contracts 2015-07-23 2018-09-18
Rep Dealing in futures contracts 2020-11-05 2023-02-13
6 KGI WEALTH MANAGEMENT LIMITED (d2017-10-03) Rep Advising on securities 2014-10-22 2015-02-02
Rep Dealing in securities 2014-10-22 2015-02-02
RO Advising on securities 2015-02-02 2017-10-02
RO Dealing in securities 2015-02-02 2017-10-02
7 SINOPAC SECURITIES (ASIA) LIMITED Rep Dealing in futures contracts 2023-03-01 2023-05-03
Rep Dealing in securities 2023-03-01 2023-05-03
RO Advising on futures contracts 2023-05-03
RO Advising on securities 2023-05-03
RO Asset management 2023-05-03
RO Dealing in futures contracts 2023-05-03
RO Dealing in securities 2023-05-03

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