Shum, Kit 沈杰
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 | CATHAY SECURITIES (HONG KONG) LIMITED | Rep | Advising on securities | 2016-12-20 | 2017-08-31 | Rep | Dealing in securities | 2016-12-20 | 2017-08-31 |
| 2 | CIF Asset Management Limited | Rep | Asset management | 2017-10-09 | |
| 3 | CITIC Securities Brokerage (HK) Limited | Rep | Dealing in securities | 2007-12-17 | 2011-07-09 |
| 4 | CITIC Securities Futures (HK) Limited | Rep | Dealing in futures contracts | 2007-12-17 | 2011-07-09 |
| 5 | CSC FUTURES (HK) LIMITED | Rep | Dealing in futures contracts | 2006-07-28 | 2007-12-13 |
| 6 | CSC SECURITIES (HK) LIMITED | Rep | Dealing in securities | 2006-06-28 | 2007-12-13 |
| 7 | INVESCO HONG KONG LIMITED | Rep | Asset management | 2011-08-03 | 2012-12-07 |
| 8 | PRIME CAPITAL MANAGEMENT COMPANY LIMITED | Rep | Asset management | 2004-12-13 | 2005-08-31 |
| 9 | SINOLINK SECURITIES (HONG KONG) COMPANY LIMITED | Rep | Dealing in securities | 2004-02-27 | 2006-06-23 | Rep | Asset management | 2004-04-06 | 2005-11-21 | Rep | Advising on securities | 2005-08-31 | 2006-06-23 |
| 10 | SOUTHWEST SECURITIES (HK) FUTURES LIMITED | Rep | Dealing in futures contracts | 2003-08-20 | 2003-11-06 |
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