SFC Licences of SHUM Richard 岑傑誠
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| LGT Investment Management (Asia) Limited | RE | 9 | 13 January 2006 | 07 August 2006 |
| LGT Investment Management (Asia) Limited | RE | 4 | 13 January 2006 | 07 August 2006 |
| LGT Investment Management (Asia) Limited | RE | 1 | 13 January 2006 | 07 August 2006 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | RE | 2 | 09 December 2004 | 20 January 2005 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | RE | 1 | 09 December 2004 | 20 January 2005 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 | RE | 1 | 09 December 2004 | 20 January 2005 |
| Schroder Investment Management (Hong Kong) Limited | RO | 5 | 28 July 2003 | 11 December 2003 |
| Schroder Investment Management (Hong Kong) Limited | RE | 9 | 01 April 2003 | 11 December 2003 |
| Schroder Investment Management (Hong Kong) Limited | RE | 4 | 01 April 2003 | 11 December 2003 |
| Schroder Investment Management (Hong Kong) Limited | RE | 5 | 01 April 2003 | 28 July 2003 |
| Schroder Investment Management (Hong Kong) Limited | RE | 6 | 01 April 2003 | 16 June 2003 |