Wang, Shengzu 王胜祖

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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 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED RO Advising on securities 2022-01-05
2 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED RO Asset management 2022-01-05
3 HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED RO Advising on securities 2022-01-05
4 HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED RO Asset management 2022-01-05
5 HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED RO Dealing in securities 2022-01-05
6 HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED RO Advising on futures contracts 2022-05-23
7 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED RO Advising on futures contracts 2022-10-12
8 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED RO Advising on securities 2022-10-12
9 HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED RO Asset management 2022-10-12
10 BARCLAYS CAPITAL ASIA LIMITED Rep Advising on securities 2015-01-28 2016-06-30
11 GOLDMAN SACHS (ASIA) L.L.C. Rep Asset management 2016-10-12 2021-09-01
12 GOLDMAN SACHS (ASIA) L.L.C. Rep Dealing in securities 2016-10-12 2021-09-01
13 GOLDMAN SACHS (ASIA) SECURITIES LIMITED Rep Dealing in futures contracts 2016-10-12 2021-09-01

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