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

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