Shum, Catherine Pui Kwan 岑佩君
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 | BlackRock (Hong Kong) Limited (d2017-01-20) | Rep | Advising on securities | 2013-10-15 | 2014-12-31 | Rep | Asset management | 2013-10-15 | 2014-12-31 | Rep | Dealing in securities | 2013-10-15 | 2014-12-31 |
| 2 | BlackRock Asset Management North Asia Limited | Rep | Advising on securities | 2013-10-15 | 2015-07-24 | Rep | Asset management | 2013-10-15 | 2015-07-24 | Rep | Dealing in securities | 2013-10-15 | 2018-05-25 |
| 3 | Credit Suisse (Hong Kong) Limited | Rep | Advising on securities | 2010-10-21 | 2013-04-18 | Rep | Dealing in securities | 2012-06-26 | 2013-04-18 |
| 4 | DWS Investments Hong Kong Limited | Rep | Dealing in securities | 2006-03-28 | 2008-03-03 | Rep | Advising on securities | 2006-04-12 | 2008-03-03 |
| 5 | JPMorgan Funds (Asia) Limited | Rep | Dealing in securities | 2004-04-28 | 2005-09-30 |
| 6 | Sumitomo Mitsui DS Asset Management (Hong Kong) Limited | Rep | Advising on securities | 2008-03-17 | 2009-10-28 | Rep | Dealing in securities | 2008-03-17 | 2009-10-28 | Rep | Asset management | 2008-04-14 | 2009-10-28 |
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