Sham, Winda Pik Yan 岑碧茵
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 | BOCOM International Securities Limited | Rep | Dealing in futures contracts | 2009-11-11 | 2011-02-21 | Rep | Dealing in securities | 2009-11-11 | 2011-02-21 | Rep | Dealing in futures contracts | 2011-11-25 | Rep | Dealing in securities | 2011-11-25 |
| 2 | DBS VICKERS (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2003-10-13 | Rep | Asset management | 2003-10-13 | Rep | Advising on securities | 2003-10-20 | Rep | Dealing in securities | 2009-09-26 | Rep | Dealing in futures contracts | 2003-10-27 | 2009-09-26 |
| 3 | DBS VICKERS FUTURES (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2003-10-20 | Rep | Asset management | 2003-10-20 | Rep | Dealing in futures contracts | 2003-12-12 |
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