Wu, Yingshi 吳應時
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 | CHIEF SECURITIES LIMITED | Rep | Advising on securities | 2014-07-28 | 2015-08-19 | Rep | Asset management | 2014-07-28 | 2015-08-19 | Rep | Dealing in securities | 2014-07-28 | 2015-08-19 |
| 2 | Hao Tian International Securities Limited | Rep | Dealing in securities | 2017-09-05 | 2018-03-29 |
| 3 | Roofer Asset Management Limited | Rep | Asset management | 2021-11-05 | 2021-12-06 | RO | Asset management | 2021-12-06 | 2024-01-31 |
| 4 | ROOFER SECURITIES LIMITED | Rep | Advising on securities | 2021-11-05 | 2021-12-06 | Rep | Dealing in securities | 2021-11-05 | 2021-12-06 | RO | Advising on securities | 2021-12-06 | 2024-01-31 | RO | Dealing in securities | 2021-12-06 | 2024-01-31 |
| 5 | SANFULL SECURITIES LIMITED | Rep | Dealing in securities | 2015-09-09 | 2017-08-01 |
| 6 | SHENG YUAN ASSET MANAGEMENT LIMITED | Rep | Advising on securities | 2018-06-01 | 2019-07-23 | Rep | Asset management | 2018-06-01 | 2020-03-18 |
| 7 | SHENG YUAN SECURITIES LIMITED | Rep | Dealing in securities | 2018-05-04 | 2019-06-19 | RO | Dealing in securities | 2019-06-19 | 2020-03-18 | Rep | Advising on securities | 2019-08-29 | 2020-03-18 |
| 8 | SPIC Asset Management (Hong Kong) Company Limited | Rep | Advising on securities | 2024-02-01 | 2024-03-25 | Rep | Asset management | 2024-02-01 | 2024-03-25 | Rep | Dealing in securities | 2024-02-01 | 2024-03-25 | RO | Advising on securities | 2024-03-25 | RO | Asset management | 2024-03-25 | RO | Dealing in securities | 2024-03-25 |
| 9 | YUANYIN ASSET MANAGEMENT LIMITED | Rep | Asset management | 2020-06-01 | 2021-04-30 | RO | Advising on securities | 2021-04-30 | 2021-09-06 | RO | Asset management | 2021-04-30 | 2021-09-06 |
| 10 | YUANYIN SECURITIES LIMITED | Rep | Advising on securities | 2020-06-01 | 2020-06-12 | Rep | Dealing in securities | 2020-06-01 | 2020-06-12 | RO | Advising on securities | 2020-06-12 | 2021-09-06 | RO | Dealing in securities | 2020-06-12 | 2021-09-06 |
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