SFC Licences of SHUM Kwok Wai, Emily 岑幗慧

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

Institution Role Licences Start date End date
iFAST Securities (HK) Limited 奕豐證券(香港)有限公司 RE 1 06 September 2017 30 April 2021
iFAST Financial (HK) Limited 奕豐金融(香港)有限公司 RE 4 06 September 2017 12 February 2020
iFAST Financial (HK) Limited 奕豐金融(香港)有限公司 RE 1 06 September 2017 12 February 2020
iFAST Global Markets (HK) Limited 奕豐環球市場(香港)有限公司 RE 4 06 September 2017
iFAST Global Markets (HK) Limited 奕豐環球市場(香港)有限公司 RE 1 06 September 2017
Gayang Securities Limited 嘉銀證券有限公司 RO 1 09 November 2010 09 August 2017
Gayang Securities Limited 嘉銀證券有限公司 RO 4 23 July 2009 09 August 2017
Gayang Securities Limited 嘉銀證券有限公司 RE 4 23 December 2008 23 July 2009
HSBC Investment Funds (Hong Kong) Limited RE 1 30 December 2005 23 June 2006
HSBC Global Asset Management (Hong Kong) Limited RE 9 30 December 2005 23 June 2006
HSBC Global Asset Management (Hong Kong) Limited RE 4 30 December 2005 23 June 2006
BNP Paribas Dealing Services Asia Limited 法國巴黎金融交易服務亞洲有限公司 RE 1 12 March 2004 21 February 2005
BNP Paribas Dealing Services Asia Limited 法國巴黎金融交易服務亞洲有限公司 RE 9 01 April 2003 21 February 2005
BNP Paribas Dealing Services Asia Limited 法國巴黎金融交易服務亞洲有限公司 RE 4 01 April 2003 12 March 2004
BNP Paribas Dealing Services Asia Limited 法國巴黎金融交易服務亞洲有限公司 RE 6 01 April 2003 12 March 2004