Shum, Anthony Chi-chung 岑志中
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 | BARCLAYS CAPITAL ASIA LIMITED | Rep | Advising on securities | 2004-08-30 | Rep | Asset management | 2004-08-30 | Rep | Advising on corporate finance | 2010-06-28 | Rep | Dealing in securities | 2010-06-28 |
| 2 | Credit Suisse (Hong Kong) Limited | Rep | Advising on corporate finance | 2010-08-31 | 2011-12-31 | Rep | Advising on securities | 2010-08-31 | 2011-12-31 | Rep | Dealing in securities | 2010-08-31 | 2011-12-31 |
| 3 | MIZUHO SECURITIES ASIA LIMITED | Rep | Advising on corporate finance | 2012-10-22 | 2016-02-01 | Rep | Advising on securities | 2012-10-22 | 2016-02-01 | Rep | Dealing in securities | 2012-10-22 | 2016-02-01 | RO | Advising on corporate finance | 2016-02-01 | 2017-10-11 | RO | Advising on securities | 2016-02-01 | 2017-10-11 | RO | Dealing in securities | 2016-02-01 | 2017-10-11 |
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