Shiu, Kam Man 邵錦文
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 | BGC SECURITIES (HONG KONG) LLC | Rep | Dealing in securities | 2008-02-25 | 2008-06-25 | RO | Dealing in futures contracts | 2008-06-25 | 2019-12-31 | RO | Dealing in securities | 2008-06-25 | 2019-12-31 |
| 2 | CANTOR FITZGERALD (HONG KONG) CAPITAL MARKETS LIMITED | RO | Dealing in futures contracts | 2011-06-03 | 2012-12-10 | RO | Dealing in futures contracts | 2014-10-17 | 2019-12-31 |
| 3 | De Riva Asia Limited | Rep | Dealing in futures contracts | 2020-04-01 | 2020-07-03 | Rep | Dealing in securities | 2020-04-01 | 2020-07-03 | RO | Dealing in futures contracts | 2020-07-03 | RO | Dealing in securities | 2020-07-03 |
| 4 | MF Global Hong Kong Limited | RO | Dealing in futures contracts | 2005-08-26 | 2008-01-14 | RO | Dealing in securities | 2007-04-30 | 2008-01-14 |
| 5 | MF Global Securities HK Limited | RO | Dealing in securities | 2005-08-26 | 2007-04-30 |
| 6 | Newedge Broker Hong Kong Limited | Rep | Automated trading services | 2003-06-13 | 2005-05-24 | Rep | Dealing in futures contracts | 2003-06-13 | 2005-06-07 |
| 7 | Newedge Broker Limited | Rep | Advising on futures contracts | 2003-06-13 | Rep | Asset management | 2003-06-13 | Rep | Automated trading services | 2003-06-13 | Rep | Dealing in futures contracts | 2003-06-13 | Rep | Dealing in securities | 2003-06-13 |
| 8 | SG Asset Finance (Hong Kong) Limited | Rep | Automated trading services | 2003-06-13 | 2003-07-09 | Rep | Dealing in securities | 2003-06-13 | 2005-06-07 | Rep | Dealing in futures contracts | 2003-10-21 | 2005-06-07 |
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