Wu, Sheng (SFC:ADX634) 武胜
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 | BARCLAYS CAPITAL ASIA LIMITED | Rep | Advising on corporate finance | 2010-09-08 | 2013-06-03 | Rep | Dealing in securities | 2010-09-08 | 2013-06-03 | RO | Advising on corporate finance | 2013-06-03 | 2020-06-30 | RO | Dealing in securities | 2013-06-03 | 2020-06-30 |
| 2 | Citigroup Global Markets Asia Limited | Rep | Advising on corporate finance | 2006-05-22 | 2008-05-26 | Rep | Dealing in securities | 2006-05-22 | 2008-05-26 | RO | Advising on corporate finance | 2008-05-26 | 2010-06-09 | RO | Dealing in securities | 2008-05-26 | 2010-06-09 |
| 3 | CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | Dealing in securities | 2006-05-22 | 2008-05-26 | RO | Dealing in securities | 2008-05-26 | 2010-06-09 |
| 4 | CMB International Capital Limited | Rep | Advising on corporate finance | 2021-01-14 | 2021-12-29 | Rep | Dealing in securities | 2021-01-14 | 2021-12-29 |
| 5 | Morgan Stanley Asia Limited | Rep | Advising on securities | 2004-02-11 | Rep | Automated trading services | 2004-02-11 | Rep | Advising on corporate finance | 2006-04-12 | Rep | Dealing in securities | 2006-04-12 |
| 6 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2022-03-25 | 2023-10-24 | Rep | Dealing in securities | 2022-03-25 | 2023-10-24 | Rep | Advising on securities | 2022-04-28 | 2023-10-24 |
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