Wakao, Tetsuji 若生哲史
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 Enterprise Securities Company Limited | Rep | Asset management | 2017-11-15 | 2018-04-11 | Rep | Dealing in securities | 2017-11-15 | 2018-04-19 | RO | Asset management | 2018-04-11 | 2019-03-29 | RO | Advising on futures contracts | 2019-02-19 | 2019-03-29 | RO | Dealing in futures contracts | 2019-02-19 | 2019-03-29 |
| 2 | CNI Securities Group Limited | Rep | Dealing in securities | 2010-01-21 | 2010-06-24 |
| 3 | Future Securities Limited (HK) | Rep | Dealing in futures contracts | 2019-06-20 | 2023-02-28 | Rep | Dealing in securities | 2019-06-20 | 2023-02-28 | RO | Asset management | 2019-09-09 | 2023-02-28 |
| 4 | GBS INTERNATIONAL FINANCIAL LIMITED | RO | Dealing in futures contracts | 2009-06-15 | 2010-08-19 |
| 5 | Grand China Securities Limited | Rep | Dealing in securities | 2012-06-14 | 2013-08-30 |
| 6 | Hyuet Capital Limited | RO | Advising on securities | 2023-04-04 | RO | Asset management | 2023-04-04 |
| 7 | Nihon Unicom Financial Limited | RO | Dealing in futures contracts | 2008-06-03 | 2008-11-30 |
| 8 | PHILLIP COMMODITIES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2009-02-05 | 2009-03-15 |
| 9 | YUE XIU ASSET MANAGEMENT LIMITED | Rep | Asset management | 2017-03-14 | 2017-08-25 |
| 10 | YUE XIU FUTURES COMPANY LIMITED | Rep | Dealing in futures contracts | 2010-10-05 | 2010-10-22 | RO | Dealing in futures contracts | 2010-10-22 | 2017-08-25 | RO | Advising on futures contracts | 2011-10-26 | 2017-08-25 |
| 11 | YUE XIU SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2014-04-29 | 2017-08-25 |
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