Lishan Wu
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Lishan Wu (吳莉珊), a licensed Responsible Officer with CE reference BEX966. Currently licensed at 1 firm(s): HongKong Yangtze River Asset Management Company Limited. Active regulated activities: Type 4 - Advising on securities; Type 9 - Asset management. This person has 10.5 years of SFC licence history. Total licence records on file: 7.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HongKong Yangtze River Asset Management Company Limited 香港揚子江資產管理有限公司 |
RO | Type 4 - Advising on securities | 2024-08-29 | present |
| HongKong Yangtze River Asset Management Company Limited 香港揚子江資產管理有限公司 |
RO | Type 9 - Asset management | 2019-02-14 | present |
| Shun Heng Securities Limited 信亨証券有限公司 |
Rep | Type 1 - Dealing in securities | 2017-06-28 | 2018-07-31 |
| Sheng Yuan Securities Limited 盛源證券有限公司 |
RO | Type 1 - Dealing in securities | 2016-10-03 | 2017-02-03 |
| Sheng Yuan Securities Limited 盛源證券有限公司 |
RO | Type 4 - Advising on securities | 2016-10-03 | 2017-02-03 |
| Sheng Yuan Securities Limited 盛源證券有限公司 |
Rep | Type 1 - Dealing in securities | 2015-02-05 | 2016-10-03 |
| Sheng Yuan Securities Limited 盛源證券有限公司 |
Rep | Type 4 - Advising on securities | 2015-02-05 | 2016-10-03 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Lishan Wu during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.