Shum, Richard (SFC:ADQ861) 岑傑誠
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 | Citigroup Global Markets Asia Limited | Rep | Dealing in securities | 2004-12-09 | 2005-01-20 |
| 2 | CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED | Rep | Dealing in futures contracts | 2004-12-09 | 2005-01-20 | Rep | Dealing in securities | 2004-12-09 | 2005-01-20 |
| 3 | LGT INVESTMENT MANAGEMENT (ASIA) LIMITED | Rep | Advising on securities | 2006-01-13 | 2006-08-07 | Rep | Asset management | 2006-01-13 | 2006-08-07 | Rep | Dealing in securities | 2006-01-13 | 2006-08-07 |
| 4 | SCHRODER INVESTMENT MANAGEMENT (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2003-06-16 | Rep | Advising on futures contracts | 2003-07-28 | Rep | Advising on securities | 2003-12-11 | Rep | Asset management | 2003-12-11 | RO | Advising on futures contracts | 2003-07-28 | 2003-12-11 |
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