Shengchu Zhu
朱聖初
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shengchu Zhu (朱聖初), a licensed former licensee with CE reference AUI034. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Carlyle Global Credit (HK) Limited | Rep | Type 1 — Dealing in securities | 2022-09-21 | 2023-09-30 |
| Carlyle Global Credit (HK) Limited | Rep | Type 4 — Advising on securities | 2022-09-21 | 2023-09-30 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2015-02-09 | 2020-05-29 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2015-02-09 | 2020-05-29 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2015-02-09 | 2020-05-29 |
| Oaktree Capital (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2014-03-14 | 2014-09-05 |
| TPG Capital, Limited 美國德太投資有限公司 |
Rep | Type 1 — Dealing in securities | 2012-03-07 | 2014-03-06 |
| TPG Capital, Limited 美國德太投資有限公司 |
Rep | Type 4 — Advising on securities | 2012-03-07 | 2014-03-06 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2009-12-09 | 2011-09-01 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 9 — Asset management | 2009-12-09 | 2011-09-01 |