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), a licensed Responsible Officer with CE reference AGC290. Currently licensed at 1 firm(s): Penjing Asset Management (Asia) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. 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 |