Kenichi Shu
朱健一
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kenichi Shu (朱健一), a licensed Responsible Officer with CE reference AEN523. Currently licensed at 1 firm(s): ADV Partners Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| ADV Partners Limited |
RO | Type 1 — Dealing in securities | 2020-02-18 | present |
| ADV Partners Limited |
RO | Type 4 — Advising on securities | 2020-02-18 | present |
| Mount Kellett Capital (Hong Kong) Limited 奇力資本(香港)有限公司 |
RO | Type 9 — Asset management | 2008-09-25 | 2009-12-15 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | present | 2007-04-17 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 4 — Advising on securities | present | 2004-10-13 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-10-13 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 9 — Asset management | present | 2004-10-13 |