Shum, Chun Ying 沈振盈

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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 EMPEROR SECURITIES LIMITED (HK) RO Advising on securities 2008-01-25 2009-05-01
RO Dealing in securities 2008-01-25 2009-05-01
2 TSE'S SECURITIES LIMITED RO Advising on corporate finance 2007-09-01
RO Advising on securities 2007-09-01
RO Asset management 2007-09-01
RO Dealing in securities 2007-09-01
Rep Advising on securities 2009-05-19 2010-08-20
Rep Dealing in securities 2009-05-19 2010-08-20
RO Advising on securities 2010-08-20 2024-01-31
RO Asset management 2010-08-20 2024-01-31
RO Dealing in securities 2010-08-20 2024-01-31

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