Shum, Frankie Kin Wai 岑建偉
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 | GET NICE ASSET MANAGEMENT LIMITED | RO | Advising on securities | 2005-12-16 | RO | Asset management | 2005-12-16 |
| 2 | GET NICE SECURITIES LIMITED | RO | Advising on corporate finance | RO | Advising on securities | RO | Asset management | RO | Dealing in securities |
| 3 | GREAT BAY SECURITIES LIMITED | RO | Advising on securities | 2007-03-12 | 2017-11-28 | RO | Asset management | 2007-03-12 | 2017-11-28 | RO | Dealing in securities | 2007-03-12 | 2017-11-28 |
| 4 | United Securities Limited (HK) | RO | Advising on securities | 2007-03-12 | 2017-01-26 | RO | Asset management | 2007-03-12 | 2017-01-26 | RO | Dealing in securities | 2007-03-12 | 2017-01-26 |
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