SFC Licences of SHUM Lai Na 沈麗娜
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Shenwan Hongyuan Futures (H.K.) Limited 申萬宏源期貨(香港)有限公司 | RE | 2 | 02 May 2007 | 22 November 2021 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 | RE | 1 | 02 May 2007 | 22 November 2021 |
| CES Commodities (HK) Limited 光證期貨（香港）有限公司 | RE | 2 | 12 September 2005 | 19 April 2007 |
| Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司 | RE | 1 | 13 June 2005 | 19 April 2007 |
| BOCOM International Holdings Company Limited 交銀國際控股有限公司 | RE | 1 | 15 December 2004 | 06 June 2005 |