Pengzi Xu
許蓬子
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Pengzi Xu (許蓬子), a licensed former licensee with CE reference AXT110. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CPE Asset Management Limited 源峰資產管理有限公司 |
RO | Type 4 — Advising on securities | 2022-10-31 | 2025-02-24 |
| CPE Asset Management Limited 源峰資產管理有限公司 |
RO | Type 9 — Asset management | 2022-10-31 | 2025-02-24 |
| APlus Partners Asset Management Limited 紳灣資本資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2021-03-15 | 2022-01-01 |
| APlus Partners Asset Management Limited 紳灣資本資產管理有限公司 |
Rep | Type 9 — Asset management | 2021-02-25 | 2022-01-01 |
| CITIC CLSA Capital Partners HK Limited 中信證券國際資本(香港)有限公司 |
RO | Type 4 — Advising on securities | 2020-02-25 | 2020-11-16 |
| CITIC CLSA Capital Partners HK Limited 中信證券國際資本(香港)有限公司 |
Rep | Type 9 — Asset management | 2019-12-18 | 2020-11-16 |
| CLSA Limited 中信里昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2017-10-18 | 2020-11-16 |
| CITIC CLSA Capital Partners HK Limited 中信證券國際資本(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2017-10-18 | 2020-02-25 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2011-08-01 | 2017-05-01 |
| CITIC Securities Corporate Finance (HK) Limited 中信証券融資(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2011-08-01 | 2017-05-01 |