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WANG Shengzu

王胜祖
CE BEW665Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

WANG Shengzu (CE number BEW665) is an individual licensed by the Hong Kong SFC. First licensed on 2015-01-28. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 5 (Advising on futures), Type 9 (Asset management). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (5)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts
RA 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerHaitong International Asset Management (HK) Limited
海通國際資產管理(香港)有限公司
Responsible OfficerHaitong International Investment Managers Limited
海通國際投資經理有限公司

Licence Record (8)

2022-01-05 – present Current
Haitong International Investment Managers Limited RO
RA 1 RA 4 RA 9
2022-01-05 – present Current
Haitong International Asset Management (HK) Limited RO
RA 4 RA 5 RA 9
2025-09-02 – 2026-01-19
Haitong International Research Limited RO
RA 4
2025-07-07 – 2025-09-02
Haitong International Research Limited Rep
RA 4
2022-10-12 – 2024-05-22
Haitong International Asset Management Limited RO
RA 4 RA 5 RA 9
2016-10-12 – 2021-09-01
Goldman Sachs (Asia) L.L.C. Rep
RA 1 RA 9
2016-10-12 – 2021-09-01
Goldman Sachs (Asia) Securities Limited Rep
RA 2
2015-01-28 – 2016-06-30
Barclays Capital Asia Limited Rep
RA 4

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/BEW665