Sum, Hing Man 岑慶文
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 | HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED | Rep | Advising on securities | 2014-12-11 | 2015-08-28 | Rep | Dealing in securities | 2014-12-11 | 2015-08-28 | RO | Advising on securities | 2015-08-28 | 2020-12-29 | RO | Dealing in futures contracts | 2015-08-28 | 2020-12-29 | RO | Dealing in securities | 2015-08-28 | 2020-12-29 |
| 2 | UBS DERIVATIVES HONG KONG LIMITED | Rep | Advising on futures contracts | 2005-02-07 | Rep | Asset management | 2005-02-07 | Rep | Dealing in futures contracts | 2014-04-11 |
| 3 | UBS SECURITIES ASIA LIMITED | Rep | Advising on futures contracts | 2005-02-04 | Rep | Advising on corporate finance | 2005-03-24 | Rep | Advising on securities | 2005-03-24 | Rep | Asset management | 2005-03-24 | Rep | Dealing in futures contracts | 2014-04-11 | Rep | Dealing in securities | 2014-04-11 |
| 4 | UBS SECURITIES HONG KONG LIMITED | Rep | Advising on corporate finance | 2005-03-24 | Rep | Advising on securities | 2005-03-24 | Rep | Asset management | 2005-03-24 | Rep | Dealing in securities | 2014-04-11 |
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