Lici Leon Edward Wu
伍禮慈
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Lici Leon Edward Wu (伍禮慈), a licensed Responsible Officer with CE reference AJD966. Currently licensed at 1 firm(s): C.M. Capital Advisors (HK) Limited. Active regulated activities: Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 16.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| C.M. Capital Advisors (HK) Limited |
RO | Type 4 — Advising on securities | 2017-12-29 | present |
| C.M. Capital Advisors (HK) Limited |
RO | Type 9 — Asset management | 2017-12-29 | present |
| C.M. Capital Advisors (HK) Limited |
Rep | Type 4 — Advising on securities | 2017-09-26 | 2017-12-29 |
| C.M. Capital Advisors (HK) Limited |
Rep | Type 9 — Asset management | 2017-09-26 | 2017-12-29 |
| All View Management Limited 景豐管理有限公司 |
RO | Type 4 — Advising on securities | 2016-03-24 | 2017-09-22 |
| All View Management Limited 景豐管理有限公司 |
RO | Type 9 — Asset management | 2016-03-24 | 2017-09-22 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2013-05-31 | 2015-03-07 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2013-05-31 | 2015-03-07 |
| Shenwan Hongyuan Asset Management (Asia) Limited 申萬宏源投資管理(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2011-01-27 | 2013-04-22 |
| Shenwan Hongyuan Asset Management (Asia) Limited 申萬宏源投資管理(亞洲)有限公司 |
Rep | Type 9 — Asset management | 2011-01-27 | 2013-04-22 |
| State Street Global Advisors Asia Limited 道富環球投資管理亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2004-10-04 | 2005-01-21 |
| State Street Global Advisors Asia Limited 道富環球投資管理亞洲有限公司 |
Rep | Type 5 — Advising on futures contracts | 2004-10-04 | 2005-01-21 |
| State Street Global Advisors Asia Limited 道富環球投資管理亞洲有限公司 |
Rep | Type 9 — Asset management | 2004-10-04 | 2005-01-21 |
| State Street Global Advisors Asia Limited 道富環球投資管理亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2004-08-11 | 2004-12-17 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 — Dealing in securities | 2003-11-06 | 2004-06-25 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2003-11-06 | 2004-06-25 |