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WU Qin

武芹
CE BBH665Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

WU Qin (CE number BBH665) is an individual licensed by the Hong Kong SFC. First licensed on 2013-05-20. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 5 (Advising on futures). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerBaring Asset Management (Asia) Limited
霸菱資產管理(亞洲)有限公司

Licence Record (5)

2023-08-01 – present Current
Baring Asset Management (Asia) Limited RO
RA 1 RA 4
2021-04-23 – 2023-08-01
Baring Asset Management (Asia) Limited Rep
RA 1 RA 4
2018-12-21 – 2021-03-31
Oaktree Capital (Hong Kong) Limited Rep
RA 1
2017-11-06 – 2018-11-21
BNY Mellon Investment Management Hong Kong Limited Rep
RA 1 RA 4
2013-05-20 – 2017-10-13
State Street Global Advisors Asia Limited Rep
RA 1 RA 4 RA 5

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/BBH665