Wu, Shanshan / Sarah 伍珊珊
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 | Credit Suisse (Hong Kong) Limited | Rep | Dealing in futures contracts | 2016-12-19 | 2021-07-16 | Rep | Dealing in securities | 2016-12-19 | 2021-07-16 |
| 2 | Credit Suisse Securities (Hong Kong) Limited | Rep | Automated trading services | 2016-12-19 | 2021-07-16 | Rep | Dealing in securities | 2016-12-19 | 2021-07-16 |
| 3 | DEUTSCHE SECURITIES ASIA LIMITED | Rep | Automated trading services | 2012-07-09 | 2013-03-06 | Rep | Advising on securities | 2012-07-09 | 2016-03-22 | Rep | Dealing in futures contracts | 2012-07-09 | 2016-09-07 | Rep | Dealing in securities | 2012-07-09 | 2016-09-07 |
| 4 | MIZUHO SECURITIES ASIA LIMITED | Rep | Dealing in securities | 2021-10-18 | 2022-06-06 | Rep | Advising on securities | 2021-11-08 | 2022-06-06 | RO | Advising on securities | 2022-06-06 | RO | Dealing in securities | 2022-06-06 |
| 5 | UBS SECURITIES ASIA LIMITED | Rep | Dealing in futures contracts | 2009-09-07 | 2012-05-05 | Rep | Dealing in securities | 2009-09-07 | 2012-05-05 |
| 6 | UBS SECURITIES HONG KONG LIMITED | Rep | Dealing in securities | 2009-09-07 | 2012-05-05 | Rep | Automated trading services | 2011-11-25 | 2012-05-05 |
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