Shum, Chun (SFC:AMO639) 沈震
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 Asset Management Limited | Rep | Asset management | 2013-05-14 | 2017-03-30 | Rep | Dealing in securities | 2016-01-29 | 2017-03-30 |
2 | BOCOM International Securities Limited | Rep | Dealing in futures contracts | 2010-11-10 | 2017-03-30 | Rep | Dealing in securities | 2010-11-10 | 2017-03-30 |
3 | Bright Fund Management Limited | Rep | Advising on securities | 2019-11-19 | 2020-02-07 | Rep | Asset management | 2019-11-19 | 2020-02-07 | Rep | Dealing in securities | 2019-12-11 | 2020-02-07 | RO | Advising on securities | 2020-02-07 | 2021-11-15 | RO | Asset management | 2020-02-07 | 2021-11-15 | RO | Dealing in securities | 2020-02-07 | 2021-11-15 |
4 | CELESTIAL COMMODITIES LIMITED | Rep | Dealing in futures contracts | 2006-05-02 | 2007-06-01 |
5 | CELESTIAL SECURITIES LIMITED | Rep | Dealing in securities | 2006-05-02 | 2007-06-01 | Rep | Leveraged foreign exchange trading | 2006-08-07 | 2007-06-01 |
6 | CHINA EVERBRIGHT SECURITIES (HK) LIMITED | Rep | Asset management | 2017-08-24 | 2018-07-31 | Rep | Dealing in securities | 2017-08-24 | 2018-07-31 | Rep | Advising on securities | 2019-11-19 | 2020-02-07 | Rep | Asset management | 2019-11-19 | 2020-02-07 | Rep | Dealing in securities | 2019-12-11 | 2020-02-07 | RO | Advising on securities | 2020-02-07 | 2021-11-15 | RO | Asset management | 2020-02-07 | 2021-11-15 | RO | Dealing in securities | 2020-02-07 | 2021-11-15 |
7 | CHINA EVERBRIGHT SECURITIES ASSET MANAGEMENT LIMITED | Rep | Asset management | 2017-08-24 | 2018-07-31 | Rep | Dealing in securities | 2017-08-24 | 2018-07-31 | Rep | Advising on securities | 2019-11-19 | 2020-02-07 | Rep | Asset management | 2019-11-19 | 2020-02-07 | Rep | Dealing in securities | 2019-12-11 | 2020-02-07 | RO | Advising on securities | 2020-02-07 | 2021-11-15 | RO | Asset management | 2020-02-07 | 2021-11-15 | RO | Dealing in securities | 2020-02-07 | 2021-11-15 |
8 | CINDA INTERNATIONAL INVESTMENT MANAGEMENT LIMITED | Rep | Leveraged foreign exchange trading | 2005-10-14 | 2005-11-07 |
9 | PICC Asset Management (Hong Kong) Company Limited | Rep | Asset management | 2018-08-10 | 2019-10-12 | Rep | Advising on securities | 2018-08-16 | 2019-10-12 |
10 | Silk Road International Capital Limited | Rep | Asset management | 2017-05-15 | 2017-08-07 | Rep | Dealing in securities | 2017-05-15 | 2017-08-07 |
11 | Tung Shing Futures (Brokers) Limited | Rep | Dealing in futures contracts | 2008-01-15 | 2010-10-27 |
12 | Tung Shing Securities (Brokers) Limited | Rep | Dealing in securities | 2008-01-15 | 2010-10-27 |
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