SFC Licences of SHUM Chi Kau, Christ 岑智球

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

Institution Role Licences Start date End date
Guotai Junan Assets (Asia) Limited 國泰君安資產管理(亞洲)有限公司 RE 4 29 November 2004 03 May 2010
Guotai Junan Assets (Asia) Limited 國泰君安資產管理(亞洲)有限公司 RE 9 01 April 2003 03 May 2010
Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 RE 1 01 April 2003 29 March 2007
Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 RE 9 01 April 2003 30 December 2003
Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 RE 4 01 April 2003 30 December 2003
Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 RE 6 01 April 2003 30 December 2003
Guotai Junan Assets (Asia) Limited 國泰君安資產管理(亞洲)有限公司 RE 4 01 April 2003 30 December 2003