Sum, Wilfred Wai Kei 岑偉基
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | BOCOM International (Asia) Limited | RO | Advising on corporate finance | 2008-09-12 | 2016-09-06 | RO | Dealing in securities | 2008-09-12 | 2016-09-06 | Rep | Advising on corporate finance | 2017-04-13 | 2017-08-10 | Rep | Dealing in securities | 2017-04-13 | 2017-08-10 | RO | Advising on corporate finance | 2017-08-10 | RO | Dealing in securities | 2017-08-10 |
| 2 | BOCOM International Securities Limited | Rep | Dealing in securities | 2015-08-11 | 2016-09-06 | Rep | Advising on securities | 2017-04-13 | Rep | Dealing in securities | 2017-04-13 | 2017-08-10 | RO | Dealing in securities | 2017-08-10 |
| 3 | CEB International Capital Corporation Limited | Rep | Advising on securities | 2016-11-23 | 2016-12-28 | RO | Advising on corporate finance | 2016-11-23 | 2016-12-28 | RO | Dealing in securities | 2016-11-23 | 2016-12-28 |
| 4 | HAITONG INTERNATIONAL CAPITAL (HK) LIMITED | RO | Advising on corporate finance | 2008-07-24 | 2008-09-08 |
| 5 | KGI CAPITAL (HONG KONG) LIMITED | RO | Advising on corporate finance | 2005-08-18 | 2008-04-21 |
| 6 | KGI WEALTH MANAGEMENT LIMITED (d2017-10-03) | Rep | Advising on corporate finance | 2003-09-04 | 2004-05-19 | RO | Advising on corporate finance | 2004-05-19 | 2008-04-21 |
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