Ronnie Shang Yen Wu
伍尚仁
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ronnie Shang Yen Wu (伍尚仁), CE reference AGC290. Currently licensed at 1 firm(s): Penjing Asset Management (Asia) Limited. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Penjing Asset Management (Asia) Limited | RO | Type 1 — Dealing in securities | 2020-01-08 | present |
| Penjing Asset Management (Asia) Limited | RO | Type 4 — Advising on securities | 2020-01-08 | present |
| Penjing Asset Management (Asia) Limited | RO | Type 9 — Asset management | 2020-01-08 | present |
| Sigma Capital Management Limited 眾和證券有限公司 |
RO | Type 1 — Dealing in securities | 2017-05-16 | 2020-01-08 |
| Sigma Capital Management Limited 眾和證券有限公司 |
RO | Type 4 — Advising on securities | 2016-04-18 | 2020-01-08 |
| Sigma Capital Management Limited 眾和證券有限公司 |
RO | Type 9 — Asset management | 2015-11-11 | 2020-01-08 |
| GROW Asset Management (HK) Limited |
RO | Type 9 — Asset management | 2015-01-09 | 2022-08-08 |
| Penjing Asset Management (HK) Limited 盆景資產管理(香港)有限公司 |
RO | Type 4 — Advising on securities | 2008-06-05 | 2014-12-19 |
| Penjing Asset Management (HK) Limited 盆景資產管理(香港)有限公司 |
RO | Type 9 — Asset management | 2008-06-05 | 2014-12-19 |
| Penjing Asset Management (HK) Limited 盆景資產管理(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2005-06-23 | 2008-06-05 |
| Penjing Asset Management (HK) Limited 盆景資產管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2005-06-23 | 2008-06-05 |
| Ge Shang Investment (Hong Kong) Limited 格上投資(香港)股份有限公司 |
Rep | Type 4 — Advising on securities | present | 2005-05-06 |
| Ge Shang Investment (Hong Kong) Limited 格上投資(香港)股份有限公司 |
Rep | Type 9 — Asset management | present | 2005-05-06 |