Wu, Carrie Ka Wai 胡嘉慧
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Dealing in securities | 2005-07-07 | 2006-07-01 |
| 2 | GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2005-07-07 | 2006-07-01 |
| 3 | Citigroup Global Markets Asia Limited | Rep | Dealing in securities | 2006-07-07 | 2007-08-03 |
| 4 | CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | Dealing in futures contracts | 2006-07-07 | 2007-08-03 |
| 5 | Guosen Securities (HK) Brokerage Company, Limited | Rep | Advising on securities | 2014-09-30 | 2015-09-18 |
| 6 | Guosen Securities (HK) Brokerage Company, Limited | Rep | Dealing in securities | 2014-09-30 | 2015-09-18 |
| 7 | Crosby Securities Limited | Rep | Advising on securities | 2015-10-08 | 2017-05-05 |
| 8 | Crosby Securities Limited | Rep | Dealing in securities | 2015-10-08 | 2017-05-05 |
| 9 | Crosby Securities Limited | Rep | Asset management | 2015-12-09 | 2022-08-01 |
| 10 | Crosby Securities Limited | RO | Advising on securities | 2017-05-05 | |
| 11 | Crosby Securities Limited | RO | Dealing in securities | 2017-05-05 | |
| 12 | Crosby Securities Limited | RO | Asset management | 2022-08-01 |
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