SFC Licences of SUM Hing Man 岑慶文

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

Institution Role Licences Start date End date
Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 RO 4 28 August 2015 29 December 2020
Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 RO 2 28 August 2015 29 December 2020
Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 RO 1 28 August 2015 29 December 2020
Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 RE 4 11 December 2014 28 August 2015
Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 RE 1 11 December 2014 28 August 2015
UBS Securities Asia Limited RE 2 01 April 2003 11 April 2014
UBS Securities Asia Limited RE 1 01 April 2003 11 April 2014
UBS Securities Hong Kong Limited RE 1 01 April 2003 11 April 2014
UBS Derivatives Hong Kong Limited RE 2 01 April 2003 11 April 2014
UBS Securities Hong Kong Limited RE 4 01 April 2003 24 March 2005
UBS Securities Asia Limited RE 9 01 April 2003 24 March 2005
UBS Securities Asia Limited RE 6 01 April 2003 24 March 2005
UBS Securities Hong Kong Limited RE 6 01 April 2003 24 March 2005
UBS Securities Hong Kong Limited RE 9 01 April 2003 24 March 2005
UBS Securities Asia Limited RE 4 01 April 2003 24 March 2005
UBS Derivatives Hong Kong Limited RE 9 01 April 2003 07 February 2005
UBS Derivatives Hong Kong Limited RE 5 01 April 2003 07 February 2005
UBS Securities Asia Limited RE 5 01 April 2003 04 February 2005