Shum, Yuk Yee 岑玉如
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 | CITIC Securities Brokerage (HK) Limited | Rep | Dealing in securities | 2021-05-03 | 2021-08-16 | Rep | Advising on securities | 2021-06-23 | 2021-08-16 |
| 2 | CITIC Securities Futures (HK) Limited | Rep | Dealing in futures contracts | 2021-05-03 | 2021-08-16 |
| 3 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Advising on corporate finance | 2004-10-13 | Rep | Advising on securities | 2004-10-13 | Rep | Asset management | 2004-10-13 | Rep | Dealing in securities | 2005-09-29 |
| 4 | HAITONG INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2020-09-08 | 2021-04-22 |
| 5 | HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2020-09-08 | 2021-04-22 |
| 6 | Morgan Stanley Asia Limited | Rep | Dealing in securities | 2010-03-10 | 2012-05-14 |
| 7 | Morgan Stanley Hong Kong Futures Limited | Rep | Dealing in futures contracts | 2010-03-10 | 2010-12-06 |
| 8 | Morgan Stanley Hong Kong Securities Limited | Rep | Dealing in futures contracts | 2010-12-06 | 2012-05-14 |
| 9 | UBS Asset Management (Hong Kong) Limited | Rep | Advising on securities | 2005-10-19 | 2006-04-13 | Rep | Asset management | 2005-10-19 | 2006-04-13 |
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