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WEN Lihua

溫麗華
CE APK238Licensed IndividualExecutive OfficerNo active licence
Official SFC record

WEN Lihua (CE number APK238) is an individual licensed by the Hong Kong SFC. First licensed on 2007-08-20. Their SFC licence is currently not active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 5 (Advising on futures), Type 7 (Automated trading).

Regulated Activities (on record) (5)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts
RA 7 Providing Automated Trading Services

Roles & Accreditations (1)

CapacityCompany / Institution
Executive OfficerJ.P. Morgan Securities (Asia Pacific) Limited

Licence Record (3)

2011-06-27 – 2021-08-18
J.P. Morgan Broking (Hong Kong) Limited Rep
RA 1 RA 2 RA 4 RA 5
2009-08-12 – 2011-05-12
Goldman Sachs Futures (Asia) Limited Rep
RA 2
2007-08-20 – 2011-05-12
Goldman Sachs (Asia) L.L.C. Rep
RA 1 RA 7

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/APK238