Shum, Patrick Wai Bill 岑維標

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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 B.N.P. SECURITIES (HONG KONG) LIMITED RO Advising on securities 2003-06-03
RO Asset management 2003-06-03
RO Dealing in securities 2003-06-03
2 BNP PARIBAS FUTURES (HONG KONG) LIMITED RO Advising on futures contracts 2004-11-29
RO Asset management 2004-11-29
RO Dealing in futures contracts 2005-07-19
3 BNP PARIBAS SECURITIES (ASIA) LIMITED Rep Dealing in securities 2004-08-23 2005-07-19
4 CHINA MERCHANTS SECURITIES (HK) CO., LIMITED RO Dealing in securities 2010-11-22
RO Advising on securities 2011-08-31
RO Asset management 2013-11-06
5 CMS ASSET MANAGEMENT (HK) CO., LIMITED Rep Asset management 2009-09-18 2009-11-30
RO Asset management 2009-11-30 2010-09-30
6 CMS CAPITAL (HK) CO., LIMITED RO Advising on securities 2012-02-14 2017-11-21
RO Asset management 2012-04-12 2017-11-21
7 Morgan Stanley Asia Limited Rep Automated trading services 2005-07-21 2006-09-04
Rep Dealing in securities 2005-07-21 2006-09-04
8 Morgan Stanley Hong Kong Futures Limited Rep Automated trading services 2005-07-21 2006-07-17
Rep Dealing in futures contracts 2005-07-21 2006-07-17
RO Automated trading services 2006-07-17 2006-09-04
RO Dealing in futures contracts 2006-07-17 2006-09-04
9 Morgan Stanley Hong Kong Securities Limited Rep Dealing in securities 2005-11-01 2006-09-04
10 PARIBAS ASIA EQUITY LIMITED RO Advising on securities 2004-08-03
RO Asset management 2004-08-03
RO Dealing in securities 2005-07-19

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