Shum, Kai Fung 岑啟豐
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 Holdings Company Limited | Rep | Dealing in securities | 2008-01-24 | 2008-03-03 |
2 | BOCOM International Securities Limited | Rep | Dealing in securities | 2008-01-24 | 2009-06-24 |
3 | CITIC Securities Brokerage (HK) Limited | Rep | Dealing in securities | 2009-06-29 | 2012-10-30 |
4 | GET NICE SECURITIES LIMITED | Rep | Dealing in securities | 2007-11-27 | 2008-01-02 |
5 | Hao Tian Asset Management Limited | Rep | Asset management | 2018-07-31 | 2019-08-10 |
6 | Hao Tian International Futures Limited | Rep | Dealing in futures contracts | 2018-02-28 | 2018-07-31 | RO | Dealing in futures contracts | 2018-07-31 | 2019-08-10 |
7 | Hao Tian International Securities Limited | Rep | Dealing in securities | 2017-03-02 | 2017-08-16 | RO | Dealing in securities | 2017-08-16 | 2019-08-10 |
8 | ICBC INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2015-04-15 | 2017-02-17 | Rep | Dealing in futures contracts | 2019-08-22 | 2019-12-06 | RO | Dealing in futures contracts | 2019-12-06 |
9 | ICBC INTERNATIONAL SECURITIES LIMITED | Rep | Dealing in securities | 2015-04-15 | 2017-02-17 | Rep | Advising on securities | 2019-08-22 | 2019-12-06 | Rep | Dealing in securities | 2019-08-22 | 2019-12-06 | RO | Advising on securities | 2019-12-06 | RO | Dealing in securities | 2019-12-06 |
10 | ORIENT FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2013-03-25 | 2015-03-20 |
11 | ORIENT SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2013-03-25 | 2015-03-20 |
12 | Soochow Securities International Brokerage Limited | Rep | Dealing in securities | 2012-11-08 | 2013-03-05 |
13 | Soochow Securities International Futures Limited | Rep | Dealing in futures contracts | 2012-12-17 | 2013-03-05 |
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