SFC Licences of SHUM Hong Nin 岑康年
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
Institution | Role | Licences | Start date | End date |
---|---|---|---|---|
HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 | RE | 4 | 23 March 2015 | 19 December 2018 |
HSBC Broking Forex (Asia) Limited 滙豐金融外匯(亞洲)有限公司 | RE | 3 | 08 May 2014 | 19 December 2018 |
HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 | RE | 1 | 25 March 2014 | 19 December 2018 |
HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 | RE | 2 | 25 March 2014 | 19 December 2018 |
Phillip Commodities (HK) Limited 輝立商品(香港)有限公司 | RE | 2 | 30 November 2007 | 15 March 2014 |
Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 | RE | 1 | 17 July 2007 | 15 March 2014 |