Wu, Yingshi 吳應時

Key Data Licences & registrations Public Disciplinary Actions

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
SPIC Asset Management (Hong Kong) Company Limited	RO	Advising on securities	2024-03-25	-
	RO	Asset management	2024-03-25	-
	RO	Dealing in securities	2024-03-25	-
	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
Roofer Asset Management Limited	RO	Asset management	2021-12-06	2024-01-31
ROOFER SECURITIES LIMITED	RO	Advising on securities	2021-12-06	2024-01-31
	RO	Dealing in securities	2021-12-06	2024-01-31
Roofer Asset Management Limited	Rep	Asset management	2021-11-05	2021-12-06
ROOFER SECURITIES LIMITED	Rep	Advising on securities	2021-11-05	2021-12-06
	Rep	Dealing in securities	2021-11-05	2021-12-06
YUANYIN ASSET MANAGEMENT LIMITED	RO	Advising on securities	2021-04-30	2021-09-06
	RO	Asset management	2021-04-30	2021-09-06
YUANYIN SECURITIES LIMITED	RO	Advising on securities	2020-06-12	2021-09-06
	RO	Dealing in securities	2020-06-12	2021-09-06
YUANYIN ASSET MANAGEMENT LIMITED	Rep	Asset management	2020-06-01	2021-04-30
YUANYIN SECURITIES LIMITED	Rep	Advising on securities	2020-06-01	2020-06-12
	Rep	Dealing in securities	2020-06-01	2020-06-12
SHENG YUAN SECURITIES LIMITED	Rep	Advising on securities	2019-08-29	2020-03-18
	RO	Dealing in securities	2019-06-19	2020-03-18
SHENG YUAN ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2018-06-01	2019-07-23
	Rep	Asset management	2018-06-01	2020-03-18
SHENG YUAN SECURITIES LIMITED	Rep	Dealing in securities	2018-05-04	2019-06-19
Hao Tian International Securities Limited	Rep	Dealing in securities	2017-09-05	2018-03-29
SANFULL SECURITIES LIMITED	Rep	Dealing in securities	2015-09-09	2017-08-01
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

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.