Wang, Shengzu 王胜祖
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 securities | 2015-01-28 | 2016-06-30 |
| 2 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Asset management | 2016-10-12 | 2021-09-01 | Rep | Dealing in securities | 2016-10-12 | 2021-09-01 |
| 3 | GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Rep | Dealing in futures contracts | 2016-10-12 | 2021-09-01 |
| 4 | HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED | RO | Advising on securities | 2022-01-05 | RO | Asset management | 2022-01-05 | RO | Advising on futures contracts | 2022-05-23 |
| 5 | HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED | RO | Advising on futures contracts | 2022-10-12 | RO | Advising on securities | 2022-10-12 | RO | Asset management | 2022-10-12 |
| 6 | HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED | RO | Advising on securities | 2022-01-05 | RO | Asset management | 2022-01-05 | RO | Dealing in securities | 2022-01-05 |
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