SFC Licences of SHUM Wai Chun 沈偉俊

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Institution Role Licences Start date End date
VMS Asset Management Limited 鼎珮資產管理有限公司 RO 9 19 March 2020 20 August 2020
VMS Securities Limited 鼎珮證券有限公司 RO 4 19 March 2020 20 August 2020
VMS Securities Limited 鼎珮證券有限公司 RO 1 19 March 2020 20 August 2020
VMS Asset Management Limited 鼎珮資產管理有限公司 RE 9 04 February 2020 19 March 2020
VMS Securities Limited 鼎珮證券有限公司 RE 4 04 February 2020 19 March 2020
VMS Securities Limited 鼎珮證券有限公司 RE 1 04 February 2020 19 March 2020
Value Partners Technology Systems Limited 惠理資訊系統有限公司 RO 9 14 July 2017 12 January 2018
Value Partners Technology Systems Limited 惠理資訊系統有限公司 RO 4 14 July 2017 12 January 2018
Value Partners Technology Systems Limited 惠理資訊系統有限公司 RO 1 14 July 2017 12 January 2018
Sensible Asset Management Hong Kong Limited 盛寶資產管理香港有限公司 RO 9 14 July 2017 12 January 2018
Sensible Asset Management Hong Kong Limited 盛寶資產管理香港有限公司 RO 4 14 July 2017 12 January 2018
Sensible Asset Management Limited 盛寶資產管理有限公司 RO 9 14 July 2017 12 January 2018
Sensible Asset Management Limited 盛寶資產管理有限公司 RO 4 14 July 2017 12 January 2018
Value Partners Hong Kong Limited 惠理基金管理香港有限公司 RO 9 14 July 2017 12 January 2018
Value Partners Hong Kong Limited 惠理基金管理香港有限公司 RO 4 14 July 2017 12 January 2018
Value Partners Hong Kong Limited 惠理基金管理香港有限公司 RO 1 14 July 2017 12 January 2018
Value Partners Private Equity Limited 惠理直接投資有限公司 RO 9 14 July 2017 12 January 2018
Value Partners Private Equity Limited 惠理直接投資有限公司 RO 4 14 July 2017 12 January 2018
Value Partners Limited 惠理基金管理公司 RO 9 14 July 2017 12 January 2018
Value Partners Limited 惠理基金管理公司 RO 4 14 July 2017 12 January 2018
Value Partners Limited 惠理基金管理公司 RO 1 14 July 2017 12 January 2018
Value Partners Technology Systems Limited 惠理資訊系統有限公司 RE 9 29 May 2017 14 July 2017
Value Partners Technology Systems Limited 惠理資訊系統有限公司 RE 4 29 May 2017 14 July 2017
Value Partners Technology Systems Limited 惠理資訊系統有限公司 RE 1 29 May 2017 14 July 2017
Sensible Asset Management Hong Kong Limited 盛寶資產管理香港有限公司 RE 9 29 May 2017 14 July 2017
Sensible Asset Management Hong Kong Limited 盛寶資產管理香港有限公司 RE 4 29 May 2017 14 July 2017
Sensible Asset Management Limited 盛寶資產管理有限公司 RE 9 29 May 2017 14 July 2017
Sensible Asset Management Limited 盛寶資產管理有限公司 RE 4 29 May 2017 14 July 2017
Value Partners Hong Kong Limited 惠理基金管理香港有限公司 RE 9 29 May 2017 14 July 2017
Value Partners Hong Kong Limited 惠理基金管理香港有限公司 RE 4 29 May 2017 14 July 2017
Value Partners Hong Kong Limited 惠理基金管理香港有限公司 RE 1 29 May 2017 14 July 2017
Value Partners Private Equity Limited 惠理直接投資有限公司 RE 9 29 May 2017 14 July 2017
Value Partners Private Equity Limited 惠理直接投資有限公司 RE 4 29 May 2017 14 July 2017
Value Partners Limited 惠理基金管理公司 RE 9 29 May 2017 14 July 2017
Value Partners Limited 惠理基金管理公司 RE 4 29 May 2017 14 July 2017
Value Partners Limited 惠理基金管理公司 RE 1 29 May 2017 14 July 2017
BOCHK Asset Management Limited 中銀香港資產管理有限公司 RO 9 07 April 2014 03 May 2017
BOCHK Asset Management Limited 中銀香港資產管理有限公司 RO 4 07 April 2014 03 May 2017
BOCHK Asset Management Limited 中銀香港資產管理有限公司 RO 1 07 April 2014 03 May 2017
Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 RO 9 20 December 2010 01 February 2012
Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 RO 4 20 December 2010 01 February 2012
Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 RO 1 20 December 2010 01 February 2012
Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 RE 9 02 August 2010 20 December 2010
Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 RE 4 02 August 2010 20 December 2010
Baring Asset Management (Asia) Limited 霸菱資產管理(亞洲)有限公司 RE 1 02 August 2010 20 December 2010
HSBC Global Asset Management (Hong Kong) Limited RO 9 28 April 2008 16 April 2010
HSBC Global Asset Management (Hong Kong) Limited RO 4 28 April 2008 16 April 2010
HSBC Global Asset Management (Hong Kong) Limited RO 1 28 April 2008 16 April 2010
HSBC Global Asset Management (Hong Kong) Limited RE 4 06 November 2007 28 April 2008
HSBC Investment Funds (Hong Kong) Limited RE 1 23 October 2007 16 April 2010
HSBC Global Asset Management (Hong Kong) Limited RE 9 23 October 2007 28 April 2008
HSBC Global Asset Management (Hong Kong) Limited RE 1 23 October 2007 28 April 2008
Franklin Templeton Investments (Asia) Limited RE 1 02 February 2006 04 July 2007
Franklin Templeton Investments (Asia) Limited RO 9 29 October 2005 04 July 2007
Franklin Templeton Investments (Asia) Limited RE 9 11 January 2005 29 October 2005
Franklin Templeton Institutional Asia Limited 富蘭克林鄧普頓機構投資亞洲有限公司 RO 4 17 September 2004 10 January 2005
Franklin Templeton Institutional Asia Limited 富蘭克林鄧普頓機構投資亞洲有限公司 RE 4 15 July 2004 17 September 2004
Mercer (Hong Kong) Limited RO 4 01 April 2003 07 July 2004