Shum, Yu Kwan 沈俞君
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 | CITIC Securities Brokerage (HK) Limited | Rep | Dealing in securities | 2008-04-08 | 2008-11-12 | Rep | Dealing in securities | 2009-02-16 | 2011-07-09 |
| 2 | CITIC Securities Futures (HK) Limited | Rep | Dealing in futures contracts | 2008-04-08 | 2008-11-12 | Rep | Dealing in futures contracts | 2009-02-16 | 2011-07-09 |
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