Wu, Daniel I Kwei 吳一揆
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 | CTBC Asia Limited | RO | Asset management | 2004-01-14 | 2004-03-15 | RO | Dealing in securities | 2004-01-14 | 2004-03-15 | RO | Advising on corporate finance | 2006-03-13 | 2022-08-01 | RO | Advising on securities | 2006-03-13 | 2022-08-01 | RO | Asset management | 2006-03-13 | 2022-08-01 | RO | Dealing in securities | 2006-03-13 | 2022-08-01 |
2 | KGI WEALTH MANAGEMENT LIMITED (d2017-10-03) | Rep | Asset management | 2004-08-30 | 2005-03-18 | Rep | Dealing in securities | 2004-08-30 | 2005-05-30 | Rep | Advising on corporate finance | 2004-10-25 | 2005-05-30 | Rep | Advising on securities | 2004-10-25 | 2005-05-30 | RO | Advising on corporate finance | 2005-05-30 | 2005-10-07 | RO | Advising on securities | 2005-05-30 | 2005-10-07 | RO | Dealing in securities | 2005-05-30 | 2005-10-07 |
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