Wu, Lici Leon Edward 伍禮慈 SFC Licences and HKMA Registrations (ID 94268)

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
C.M. Capital Advisors (HK) Limited	RO	Advising on securities	2017-12-29	-
	RO	Asset management	2017-12-29	-
	Rep	Advising on securities	2017-09-26	2017-12-29
	Rep	Asset management	2017-09-26	2017-12-29
ALL VIEW MANAGEMENT LIMITED	RO	Advising on securities	2016-03-24	2017-09-22
	RO	Asset management	2016-03-24	2017-09-22
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2013-05-31	2015-03-07
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2013-05-31	2015-03-07
SHENWAN HONGYUAN ASSET MANAGEMENT (ASIA) LIMITED	Rep	Advising on securities	2011-01-27	2013-04-22
	Rep	Asset management	2011-01-27	2013-04-22
STATE STREET GLOBAL ADVISORS ASIA LIMITED	Rep	Advising on futures contracts	2004-10-04	2005-01-21
	Rep	Advising on securities	2004-10-04	2005-01-21
	Rep	Asset management	2004-10-04	2005-01-21
	Rep	Dealing in securities	2004-08-11	2004-12-17
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in futures contracts	2003-11-06	2004-06-25
	Rep	Dealing in securities	2003-11-06	2004-06-25

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.