Shum, Emily Kwok Wai 岑幗慧
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 | BNP PARIBAS DEALING SERVICES ASIA LIMITED | Rep | Advising on corporate finance | 2004-03-12 | Rep | Advising on securities | 2004-03-12 | Rep | Asset management | 2005-02-21 | Rep | Dealing in securities | 2004-03-12 | 2005-02-21 |
| 2 | GAYANG SECURITIES LIMITED | Rep | Advising on securities | 2008-12-23 | 2009-07-23 | RO | Advising on securities | 2009-07-23 | 2017-08-09 | RO | Dealing in securities | 2010-11-09 | 2017-08-09 |
| 3 | HSBC Global Asset Management (Hong Kong) Limited | Rep | Advising on securities | 2005-12-30 | 2006-06-23 | Rep | Asset management | 2005-12-30 | 2006-06-23 |
| 4 | HSBC INVESTMENT FUNDS (HONG KONG) LIMITED | Rep | Dealing in securities | 2005-12-30 | 2006-06-23 |
| 5 | iFAST Financial (HK) Limited | Rep | Advising on securities | 2017-09-06 | 2020-02-12 | Rep | Dealing in securities | 2017-09-06 | 2020-02-12 |
| 6 | iFAST Global Markets (HK) Limited | Rep | Advising on securities | 2017-09-06 | Rep | Dealing in securities | 2017-09-06 |
| 7 | iFAST Securities (HK) Limited | Rep | Dealing in securities | 2017-09-06 | 2021-04-30 |
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