Unofficial — this is NOT the SFC. Independent site, not affiliated with the Securities and Futures Commission of Hong Kong. All information is compiled from SFC, HKMA and other public regulatory records and is for reference only — verify on the official SFC website before relying on it.
SFC Radar
中文 ← Back to search

WU Haoyuan

伍浩元
CE BAB128Licensed IndividualSFO licence active
Official SFC record

WU Haoyuan (CE number BAB128) is an individual licensed by the Hong Kong SFC. First licensed on 2012-08-13. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 3 (Leveraged FX), Type 4 (Advising on securities), Type 6 (Corporate finance), Type 10 (Credit rating).

Regulated Activities (on record) (6)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 3 Leveraged Foreign Exchange Trading
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance
RA 10 Providing Credit Rating Services

Roles & Accreditations (1)

CapacityCompany / Institution
RepresentativeFitch (Hong Kong) Limited
惠譽國際評級有限公司

Licence Record (6)

2020-02-18 – present Current
Fitch (Hong Kong) Limited Rep
RA 10
2019-04-17 – 2020-02-04
Daiwa Capital Markets Hong Kong Limited Rep
RA 4
2015-06-17 – 2019-04-12
DBS Vickers (Hong Kong) Limited Rep
RA 4
2014-01-15 – 2015-05-23
Everbright Securities Investment Services (HK) Limited Rep
RA 1 RA 4
2014-01-15 – 2015-01-15
Everbright Securities Global (HK) Limited Rep
RA 1 RA 6
2012-08-13 – 2014-01-01
Interactive Brokers LLC Rep
RA 1 RA 2 RA 3

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/BAB128