Yingshi Wu
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yingshi Wu (吳應時), a licensed Responsible Officer with CE reference BDV967. Currently licensed at 1 firm(s): SPIC Asset Management (Hong Kong) Company Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 11.3 years of SFC licence history. Total licence records on file: 29.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| SPIC Asset Management (Hong Kong) Company Limited 國家電投香港資產管理有限公司 |
RO | Type 1 - Dealing in securities | 2024-03-25 | present |
| SPIC Asset Management (Hong Kong) Company Limited 國家電投香港資產管理有限公司 |
RO | Type 4 - Advising on securities | 2024-03-25 | present |
| SPIC Asset Management (Hong Kong) Company Limited 國家電投香港資產管理有限公司 |
RO | Type 9 - Asset management | 2024-03-25 | present |
| SPIC Asset Management (Hong Kong) Company Limited 國家電投香港資產管理有限公司 |
Rep | Type 1 - Dealing in securities | 2024-02-01 | 2024-03-25 |
| SPIC Asset Management (Hong Kong) Company Limited 國家電投香港資產管理有限公司 |
Rep | Type 4 - Advising on securities | 2024-02-01 | 2024-03-25 |
| SPIC Asset Management (Hong Kong) Company Limited 國家電投香港資產管理有限公司 |
Rep | Type 9 - Asset management | 2024-02-01 | 2024-03-25 |
| Roofer Securities Limited 路華證券有限公司 |
RO | Type 1 - Dealing in securities | 2021-12-06 | 2024-01-31 |
| Roofer Securities Limited 路華證券有限公司 |
RO | Type 4 - Advising on securities | 2021-12-06 | 2024-01-31 |
| Roofer Asset Management Limited 路華資產管理有限公司 |
RO | Type 9 - Asset management | 2021-12-06 | 2024-01-31 |
| Roofer Securities Limited 路華證券有限公司 |
Rep | Type 1 - Dealing in securities | 2021-11-05 | 2021-12-06 |
| Roofer Securities Limited 路華證券有限公司 |
Rep | Type 4 - Advising on securities | 2021-11-05 | 2021-12-06 |
| Roofer Asset Management Limited 路華資產管理有限公司 |
Rep | Type 9 - Asset management | 2021-11-05 | 2021-12-06 |
| YUANYIN ASSET MANAGEMENT LIMITED 原銀資產管理有限公司 |
RO | Type 4 - Advising on securities | 2021-04-30 | 2021-09-06 |
| YUANYIN ASSET MANAGEMENT LIMITED 原銀資產管理有限公司 |
RO | Type 9 - Asset management | 2021-04-30 | 2021-09-06 |
| YUANYIN SECURITIES LIMITED 原銀證券有限公司 |
RO | Type 1 - Dealing in securities | 2020-06-12 | 2021-09-06 |
| YUANYIN SECURITIES LIMITED 原銀證券有限公司 |
RO | Type 4 - Advising on securities | 2020-06-12 | 2021-09-06 |
| YUANYIN SECURITIES LIMITED 原銀證券有限公司 |
Rep | Type 1 - Dealing in securities | 2020-06-01 | 2020-06-12 |
| YUANYIN SECURITIES LIMITED 原銀證券有限公司 |
Rep | Type 4 - Advising on securities | 2020-06-01 | 2020-06-12 |
| YUANYIN ASSET MANAGEMENT LIMITED 原銀資產管理有限公司 |
Rep | Type 9 - Asset management | 2020-06-01 | 2021-04-30 |
| Sheng Yuan Securities Limited 盛源證券有限公司 |
Rep | Type 4 - Advising on securities | 2019-08-29 | 2020-03-18 |
| Sheng Yuan Securities Limited 盛源證券有限公司 |
RO | Type 1 - Dealing in securities | 2019-06-19 | 2020-03-18 |
| Sheng Yuan Asset Management Limited 盛源資產管理有限公司 |
Rep | Type 4 - Advising on securities | 2018-06-01 | 2019-07-23 |
| Sheng Yuan Asset Management Limited 盛源資產管理有限公司 |
Rep | Type 9 - Asset management | 2018-06-01 | 2020-03-18 |
| Sheng Yuan Securities Limited 盛源證券有限公司 |
Rep | Type 1 - Dealing in securities | 2018-05-04 | 2019-06-19 |
| Hao Tian International Securities Limited 昊天國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2017-09-05 | 2018-03-29 |
| Sanfull Securities Limited 新富證券有限公司 |
Rep | Type 1 - Dealing in securities | 2015-09-09 | 2017-08-01 |
| Chief Securities Limited 致富證券有限公司 |
Rep | Type 1 - Dealing in securities | 2014-07-28 | 2015-08-19 |
| Chief Securities Limited 致富證券有限公司 |
Rep | Type 4 - Advising on securities | 2014-07-28 | 2015-08-19 |
| Chief Securities Limited 致富證券有限公司 |
Rep | Type 9 - Asset management | 2014-07-28 | 2015-08-19 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Yingshi 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.