Shum, Chun 沈震

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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 Asset Management Limited Rep Asset management 2013-05-14 2017-03-30
Rep Dealing in securities 2016-01-29 2017-03-30
2 BOCOM International Securities Limited Rep Dealing in futures contracts 2010-11-10 2017-03-30
Rep Dealing in securities 2010-11-10 2017-03-30
3 Bright Fund Management Limited Rep Advising on securities 2019-11-19 2020-02-07
Rep Asset management 2019-11-19 2020-02-07
Rep Dealing in securities 2019-12-11 2020-02-07
RO Advising on securities 2020-02-07 2021-11-15
RO Asset management 2020-02-07 2021-11-15
RO Dealing in securities 2020-02-07 2021-11-15
4 CELESTIAL COMMODITIES LIMITED Rep Dealing in futures contracts 2006-05-02 2007-06-01
5 CELESTIAL SECURITIES LIMITED Rep Dealing in securities 2006-05-02 2007-06-01
Rep Leveraged foreign exchange trading 2006-08-07 2007-06-01
6 CHINA EVERBRIGHT SECURITIES (HK) LIMITED Rep Asset management 2017-08-24 2018-07-31
Rep Dealing in securities 2017-08-24 2018-07-31
Rep Advising on securities 2019-11-19 2020-02-07
Rep Asset management 2019-11-19 2020-02-07
Rep Dealing in securities 2019-12-11 2020-02-07
RO Advising on securities 2020-02-07 2021-11-15
RO Asset management 2020-02-07 2021-11-15
RO Dealing in securities 2020-02-07 2021-11-15
7 CHINA EVERBRIGHT SECURITIES ASSET MANAGEMENT LIMITED Rep Asset management 2017-08-24 2018-07-31
Rep Dealing in securities 2017-08-24 2018-07-31
Rep Advising on securities 2019-11-19 2020-02-07
Rep Asset management 2019-11-19 2020-02-07
Rep Dealing in securities 2019-12-11 2020-02-07
RO Advising on securities 2020-02-07 2021-11-15
RO Asset management 2020-02-07 2021-11-15
RO Dealing in securities 2020-02-07 2021-11-15
8 CINDA INTERNATIONAL INVESTMENT MANAGEMENT LIMITED Rep Leveraged foreign exchange trading 2005-10-14 2005-11-07
9 PICC Asset Management (Hong Kong) Company Limited Rep Asset management 2018-08-10 2019-10-12
Rep Advising on securities 2018-08-16 2019-10-12
10 Silk Road International Capital Limited Rep Asset management 2017-05-15 2017-08-07
Rep Dealing in securities 2017-05-15 2017-08-07
11 Tung Shing Futures (Brokers) Limited Rep Dealing in futures contracts 2008-01-15 2010-10-27
12 Tung Shing Securities (Brokers) Limited Rep Dealing in securities 2008-01-15 2010-10-27

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