Wen (SFC:ATO953) Su
蘇文
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wen (SFC:ATO953) Su (蘇文), a licensed former licensee with CE reference ATO953. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Nomura Asset Management Hong Kong Limited 野村投資管理香港有限公司 |
Rep | Type 1 — Dealing in securities | 2014-08-15 | 2016-05-10 |
| Nomura Asset Management Hong Kong Limited 野村投資管理香港有限公司 |
Rep | Type 4 — Advising on securities | 2014-08-15 | 2016-05-10 |
| Nomura Asset Management Hong Kong Limited 野村投資管理香港有限公司 |
Rep | Type 9 — Asset management | 2014-08-15 | 2016-05-10 |
| BlackRock Asset Management North Asia Limited 貝萊德資產管理北亞有限公司 |
Rep | Type 1 — Dealing in securities | 2012-11-28 | 2014-07-12 |
| BlackRock (Hong Kong) Limited 貝萊德(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2012-08-03 | 2014-07-12 |
| BlackRock Asset Management North Asia Limited 貝萊德資產管理北亞有限公司 |
Rep | Type 4 — Advising on securities | 2012-08-03 | 2014-07-12 |
| BlackRock Asset Management North Asia Limited 貝萊德資產管理北亞有限公司 |
Rep | Type 9 — Asset management | 2012-08-03 | 2014-07-12 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2011-08-29 | 2011-10-11 |
| HSBC Structured Funds (Asia) Limited | Rep | Type 4 — Advising on securities | 2009-08-25 | 2011-03-28 |