Shum, Kwok Fai 岑國輝
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 | Arta Global Markets Limited | Rep | Dealing in securities | 2010-06-07 | 2010-07-13 | RO | Dealing in securities | 2010-07-13 | 2011-10-21 | RO | Dealing in securities | 2012-03-26 | 2012-10-31 |
| 2 | Beevest Securities Limited | Rep | Dealing in securities | 2003-10-10 | 2005-02-02 | RO | Dealing in securities | 2005-02-02 | 2010-06-01 | Rep | Dealing in futures contracts | 2005-06-30 | 2007-02-07 | RO | Advising on securities | 2006-12-16 | 2010-06-01 | RO | Dealing in futures contracts | 2007-02-07 | 2010-06-01 |
| 3 | BUSINESS SECURITIES LIMITED | Rep | Dealing in securities | 2018-04-17 | 2018-07-25 | RO | Dealing in securities | 2018-07-25 | 2018-08-27 |
| 4 | Golden Rich Securities Limited | RO | Dealing in securities | 2016-04-06 | 2017-10-20 |
| 5 | HUA NAN SECURITIES (HK) LIMITED | Rep | Dealing in securities | 2014-07-31 | 2014-09-23 | RO | Dealing in securities | 2014-09-23 | 2015-12-31 |
| 6 | Public Securities Limited | RO | Dealing in securities | 2013-08-20 | 2013-11-15 |
| 7 | Ruisen Port Securities Limited | Rep | Dealing in futures contracts | 2014-05-19 | 2014-05-23 | Rep | Dealing in securities | 2014-05-19 | 2014-05-23 |
| 8 | TUNG YAT SECURITIES LIMITED | RO | Dealing in securities | 2021-03-01 | 2021-12-13 |
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