Shanggu Asset Management (Asia) Limited is a Hong Kong SFC licensed corporation (CE number BJD133). First licensed on 2017-06-16. Its SFC licence is currently active. It is licensed for 3 regulated activities: Type 1 (Securities dealing), Type 4 (Advising on securities), Type 9 (Asset management).
| Type | English | Chinese | Effective |
|---|---|---|---|
| RA 1 | Dealing in Securities | 證券交易 | 2017-06-16 |
| RA 4 | Advising on Securities | 就證券提供意見 | 2017-06-16 |
| RA 9 | Asset Management | 提供資產管理 | 2017-06-16 |
| CE No. | Name | Chinese |
|---|---|---|
| AAJ570 | YAU Shu Cheung | 游樹祥 |
| ACD641 | LEUNG Yin Wing | 梁彥頴 |
| CE No. | Name | Chinese |
|---|---|---|
| ABA159 | YUNG Richard Jr. | 榮文淵 |
| ADZ294 | CHEONG Fung Nean | 鍾豐年 |
| AGP471 | KWOK Peter | 郭致言 |
| AHC087 | LEE Abel Kwong Kee | 李廣基 |
| AHR463 | CHEUNG Shiu Ming, Jacky | 張兆明 |
| ALL309 | LAM Suk Fan, Elsa | 林淑芬 |
| AMM147 | TSUI Ching, Jane | 徐晶 |
| AOG988 | KUM Mang Lun | 甘孟麟 |
| AOK030 | FAN Che Hsi Jason | 范哲曦 |
| AOV139 | CHOI Man Wing | 蔡文荣 |
| AOW764 | CHEUK Kam Fai | 卓錦輝 |
| AQG683 | LO Ying Fan | 盧影芬 |
| ARV873 | CHIU Ka Man, Christine | 趙嘉敏 |
| ASD062 | SIU Wing Mui, Kathleen | 蕭詠梅 |
| ATC206 | TSANG Kin Wang | 曾健宏 |
| AUK299 | CHEN Tin Wai | 陳天偉 |
| AVN394 | LUK Wai Keung, Philip | 陸偉強 |
| AZW244 | LAM Yu Sin | 林于茜 |
| BDH698 | CHAN Siu Chung | 陳肇聰 |
| BDQ756 | YIP Cheuk Lok, Alex | 葉卓躒 |
| BEI451 | WONG Cheuk Man | 黃焯敏 |
| BEM719 | CHAN King Shing | 陳敬誠 |
| BFY111 | LI Chuen Ho | 李傳浩 |
| BHA068 | TAM Kin Chung | 談建聰 |
| BHW840 | CHAN Wai Ling | 陳惠玲 |
| BIE128 | DING Mei Ling, Dorothy | 丁美伶 |
| BNP677 | TAM Ka Yan | 譚嘉欣 |
| BRQ498 | HO Pui Ki | 何珮琪 |
| BRZ721 | WANG Guangcan | 王光燦 |
| BUR061 | Lee Eunice Jovin | 李彥諮 |
| BWE924 | WANG Jing | 王晶 |
| BXS154 | ZHANG Jieyao | 张洁瑶 |