SFC Licences of WU Xiao 吳筱

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Institution Role Licences Start date End date
Founder Futures (Hong Kong) Limited 方正期貨(香港)有限公司
RO 2 19 January 2021 25 January 2021
Founder Futures (Hong Kong) Limited 方正期貨(香港)有限公司
RE 2 11 September 2020 11 September 2020
Founder Asset Management (Hong Kong) Limited 方正資產管理(香港)有限公司
RO 4, 9 13 May 2020 26 February 2021
Founder Securities (Hong Kong) Limited 方正證券(香港)有限公司
RO 1, 4 28 November 2019 25 January 2021
Founder Futures (Hong Kong) Limited 方正期貨(香港)有限公司
RO 2 28 November 2019 11 September 2020
Founder Securities (Hong Kong) Capital Company Limited 方正證券(香港)融資有限公司
RO 6 01 June 2018 25 January 2021
Founder Securities (Hong Kong) Capital Company Limited 方正證券(香港)融資有限公司
RO 1 01 June 2018 30 December 2019
CMS Asset Management (HK) Co., Limited 招商證券資產管理(香港)有限公司
RE 9 08 June 2009 01 November 2010
China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司
RE 9 23 March 2007 26 May 2009
China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司
RE 4 23 March 2007 28 June 2008