Shum, Hong Nin 岑康年
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 | HSBC BROKING FOREX (ASIA) LIMITED | Rep | Leveraged foreign exchange trading | 2014-05-08 | 2018-12-19 |
| 2 | HSBC BROKING FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2014-03-25 | 2018-12-19 |
| 3 | HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2014-03-25 | 2018-12-19 | Rep | Advising on securities | 2015-03-23 | 2018-12-19 |
| 4 | PHILLIP COMMODITIES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2007-11-30 | 2014-03-15 |
| 5 | PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2007-07-17 | 2014-03-15 |
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