Wu, Xiao (SFC:AOS437) 吳筱
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 MERCHANTS SECURITIES (HK) CO., LIMITED | Rep | Advising on securities | 2007-03-23 | 2008-06-28 | Rep | Asset management | 2007-03-23 | 2009-05-26 |
| 2 | CMS ASSET MANAGEMENT (HK) CO., LIMITED | Rep | Asset management | 2009-06-08 | 2010-11-01 |
| 3 | FOUNDER ASSET MANAGEMENT (HONG KONG) LIMITED | RO | Advising on securities | 2020-05-13 | 2021-02-26 | RO | Asset management | 2020-05-13 | 2021-02-26 |
| 4 | FOUNDER FUTURES (HONG KONG) LIMITED | RO | Dealing in futures contracts | 2019-11-28 | 2020-09-11 | Rep | Dealing in futures contracts | 2020-09-11 | 2020-09-11 | RO | Dealing in futures contracts | 2021-01-19 | 2021-01-25 |
| 5 | Founder Securities (Hong Kong) Capital Company Limited | RO | Dealing in securities | 2018-06-01 | 2019-12-30 | RO | Advising on corporate finance | 2018-06-01 | 2021-01-25 |
| 6 | FOUNDER SECURITIES (HONG KONG) LIMITED | RO | Advising on securities | 2019-11-28 | 2021-01-25 | RO | Dealing in securities | 2019-11-28 | 2021-01-25 |
| 7 | KAM LUEN SECURITIES LIMITED | RO | Advising on securities | 2022-08-16 | RO | Asset management | 2022-08-16 | RO | Dealing in securities | 2022-08-16 |
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