Shum, Tommy Chung Lai 沈仲禮
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 | 1020 Capital Management Limited | Rep | Asset management | 2024-05-21 | |
| 2 | Credit Suisse (Hong Kong) Limited | Rep | Dealing in securities | 2019-11-07 | 2022-07-29 | Rep | Dealing in futures contracts | 2019-11-20 | 2022-07-29 |
| 3 | Credit Suisse Securities (Hong Kong) Limited | Rep | Dealing in securities | 2019-11-07 | 2022-07-29 |
| 4 | HSBC SECURITIES BROKERS (ASIA) LIMITED | Rep | Dealing in securities | 2007-07-10 | 2019-07-15 |
| 5 | NATIXIS ASIA LIMITED | Rep | Dealing in securities | 2006-08-11 | 2006-10-31 |
| 6 | SG SECURITIES (HK) LIMITED | Rep | Dealing in futures contracts | 2022-09-13 | 2023-06-09 | Rep | Dealing in securities | 2022-09-13 | 2023-06-09 |
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