Shum, Patrick Wai Bill 岑維標
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 | B.N.P. SECURITIES (HONG KONG) LIMITED | RO | Advising on securities | 2003-06-03 | RO | Asset management | 2003-06-03 | RO | Dealing in securities | 2003-06-03 |
2 | BNP PARIBAS FUTURES (HONG KONG) LIMITED | RO | Advising on futures contracts | 2004-11-29 | RO | Asset management | 2004-11-29 | RO | Dealing in futures contracts | 2005-07-19 |
3 | BNP PARIBAS SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2004-08-23 | 2005-07-19 |
4 | CHINA MERCHANTS SECURITIES (HK) CO., LIMITED | RO | Dealing in securities | 2010-11-22 | RO | Advising on securities | 2011-08-31 | RO | Asset management | 2013-11-06 |
5 | CMS ASSET MANAGEMENT (HK) CO., LIMITED | Rep | Asset management | 2009-09-18 | 2009-11-30 | RO | Asset management | 2009-11-30 | 2010-09-30 |
6 | CMS CAPITAL (HK) CO., LIMITED | RO | Advising on securities | 2012-02-14 | 2017-11-21 | RO | Asset management | 2012-04-12 | 2017-11-21 |
7 | Morgan Stanley Asia Limited | Rep | Automated trading services | 2005-07-21 | 2006-09-04 | Rep | Dealing in securities | 2005-07-21 | 2006-09-04 |
8 | Morgan Stanley Hong Kong Futures Limited | Rep | Automated trading services | 2005-07-21 | 2006-07-17 | Rep | Dealing in futures contracts | 2005-07-21 | 2006-07-17 | RO | Automated trading services | 2006-07-17 | 2006-09-04 | RO | Dealing in futures contracts | 2006-07-17 | 2006-09-04 |
9 | Morgan Stanley Hong Kong Securities Limited | Rep | Dealing in securities | 2005-11-01 | 2006-09-04 |
10 | PARIBAS ASIA EQUITY LIMITED | RO | Advising on securities | 2004-08-03 | RO | Asset management | 2004-08-03 | RO | Dealing in securities | 2005-07-19 |
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