Sum, Pun Yan 岑本仁
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 | CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | Advising on corporate finance | 2004-06-28 | Rep | Advising on securities | 2004-06-28 | Rep | Asset management | 2004-06-28 | Rep | Automated trading services | 2004-06-28 | Rep | Dealing in securities | 2005-09-22 |
| 2 | CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED | Rep | Advising on futures contracts | 2004-06-28 | Rep | Asset management | 2004-06-28 | Rep | Dealing in futures contracts | 2005-09-22 |
| 3 | CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED | Rep | Advising on corporate finance | 2004-06-28 | Rep | Advising on securities | 2004-06-28 | Rep | Asset management | 2004-06-28 | Rep | Automated trading services | 2004-06-28 | Rep | Dealing in securities | 2005-09-22 |
| 4 | Golden K2 Securities Limited | RO | Dealing in securities | 2018-01-31 | 2019-06-30 |
| 5 | KINGSWAY FINANCIAL SERVICES GROUP LIMITED | Rep | Dealing in securities | 2005-09-23 | 2013-05-14 | Rep | Dealing in futures contracts | 2005-09-23 | 2016-08-12 | RO | Dealing in securities | 2013-05-14 | 2016-07-13 | Rep | Dealing in securities | 2016-07-13 | 2016-08-12 |
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