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WU Carol Shu-Yen

吳淑燕
CE AQA850Licensed IndividualExecutive OfficerNo active licence
Official SFC record

WU Carol Shu-Yen (CE number AQA850) is an individual licensed by the Hong Kong SFC. First licensed on 2007-11-26. 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 9 (Asset management).

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Executive OfficerDBS Bank (Hong Kong) Limited
星展銀行(香港)有限公司

Licence Record (2)

2015-10-29 – 2022-08-17
DBS Vickers (Hong Kong) Limited RO
RA 1 RA 2 RA 4
2007-11-26 – 2015-10-29
DBS Vickers (Hong Kong) Limited Rep
RA 4

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/AQA850