Shum, Wah Nin 岑華年
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 | BOCI SECURITIES LIMITED | Rep | Leveraged foreign exchange trading | 2014-01-06 | 2014-11-26 | Rep | Dealing in futures contracts | 2014-01-06 | 2024-01-31 | Rep | Dealing in securities | 2014-01-06 | 2024-01-31 | Rep | Advising on securities | 2021-04-29 | 2024-01-31 |
2 | HSBC BROKING FOREX (ASIA) LIMITED | Rep | Leveraged foreign exchange trading | 2007-05-31 | 2013-12-06 |
3 | HSBC BROKING FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2007-01-22 | 2013-12-06 |
4 | HSBC BROKING FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2007-01-22 | 2013-01-22 |
5 | HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2007-01-22 | 2013-12-06 |
6 | Topaz Financial Group Limited | Rep | Advising on securities | 2024-02-26 | Rep | Dealing in futures contracts | 2024-02-26 | Rep | Dealing in securities | 2024-02-26 |
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