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WU Kwok Yan, Eric

伍國忻
CE AVL147Licensed IndividualSFO licence active
Official SFC record

WU Kwok Yan, Eric (CE number AVL147) is an individual licensed by the Hong Kong SFC. First licensed on 2010-06-30. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 7 (Automated trading), Type 9 (Asset management).

Regulated Activities (on record) (5)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 7 Providing Automated Trading Services
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
RepresentativeJPMorgan Asset Management (Asia Pacific) Limited

Licence Record (5)

2022-11-04 – present Current
JPMorgan Asset Management (Asia Pacific) Limited Rep
RA 1 RA 2 RA 9
2021-08-03 – 2022-09-02
UBS Securities Asia Limited Rep
RA 1 RA 2
2021-08-03 – 2022-09-02
UBS Securities Hong Kong Limited Rep
RA 1 RA 7
2020-09-30 – 2021-06-04
Macquarie Asia Securities Limited Rep
RA 1 RA 4
2010-06-30 – 2012-11-30
Macquarie Capital Limited Rep
RA 1

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/AVL147