Sam, Shook Fung (SFC:ADM712) 沈淑芳
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 | CGS International Securities Hong Kong Limited | Rep | Dealing in securities | 2017-03-17 | 2020-04-02 | Rep | Advising on securities | 2020-02-10 | RO | Dealing in securities | 2020-04-02 |
| 2 | Manulife Investment Management (Hong Kong) Limited | Rep | Dealing in securities | 2016-10-17 | 2017-03-14 |
| 3 | Morgan Stanley Asia Limited | Rep | Dealing in securities | 2006-04-11 | 2016-01-08 | Rep | Automated trading services | 2006-09-14 | 2013-07-24 | Rep | Advising on futures contracts | 2013-07-24 | 2016-01-08 | Rep | Advising on securities | 2013-07-24 | 2016-01-08 |
| 4 | Morgan Stanley Hong Kong Futures Limited | Rep | Automated trading services | 2006-05-12 | 2010-12-06 | Rep | Dealing in futures contracts | 2006-05-12 | 2010-12-06 |
| 5 | Morgan Stanley Hong Kong Securities Limited | Rep | Dealing in securities | 2006-05-02 | 2016-01-08 | Rep | Dealing in futures contracts | 2010-12-06 | 2016-01-08 | Rep | Automated trading services | 2013-07-24 | 2016-01-08 |
| 6 | Quam Securities Limited | Rep | Dealing in securities | 2006-03-07 | 2006-03-16 |
| 7 | Virtu ITG Hong Kong Limited | Rep | Advising on corporate finance | 2003-05-13 | Rep | Advising on securities | 2003-05-13 | Rep | Asset management | 2003-05-13 | Rep | Dealing in securities | 2005-09-12 | Rep | Automated trading services | 2003-05-13 | 2005-09-12 |
| 8 | Virtu ITG Securities (Asia) Limited | Rep | Advising on corporate finance | 2003-04-25 | Rep | Advising on securities | 2003-04-25 | Rep | Asset management | 2003-04-25 | Rep | Dealing in securities | 2003-04-25 |
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