SFC Licences of SHUM Wai Bill, Patrick 岑維標

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

Institution Role Licences Start date End date
China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司
RO 9 06 November 2013
CMS Capital (HK) Co., Limited 招商資本(香港)有限公司
RO 9 12 April 2012 21 November 2017
CMS Capital (HK) Co., Limited 招商資本(香港)有限公司
RO 4 14 February 2012 21 November 2017
China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司
RO 4 31 August 2011
China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司
RO 1 22 November 2010
CMS Asset Management (HK) Co., Limited 招商證券資產管理(香港)有限公司
RO 9 30 November 2009 30 September 2010
CMS Asset Management (HK) Co., Limited 招商證券資產管理(香港)有限公司
RE 9 18 September 2009 30 November 2009
Morgan Stanley Hong Kong Futures Limited
RO 2, 7 17 July 2006 04 September 2006
Morgan Stanley Hong Kong Securities Limited
RE 1 01 November 2005 04 September 2006
Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司
RE 1, 7 21 July 2005 04 September 2006
Morgan Stanley Hong Kong Futures Limited
RE 2, 7 21 July 2005 17 July 2006
BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司
RE 1 23 August 2004 19 July 2005
Paribas Asia Equity Limited (trading as Paribas) 巴黎巴亞洲証券有限公司
RO 1 01 April 2003 19 July 2005
BNP Paribas Futures (Hong Kong) Limited 法國巴黎期貨(香港)有限公司
RO 2 01 April 2003 19 July 2005
BNP Paribas Futures (Hong Kong) Limited 法國巴黎期貨(香港)有限公司
RO 5, 9 01 April 2003 29 November 2004
Paribas Asia Equity Limited (trading as Paribas) 巴黎巴亞洲証券有限公司
RO 4, 9 01 April 2003 03 August 2004
B.N.P. Securities (Hong Kong) Limited 法國國家巴黎証券(香港)有限公司
RO 1, 4, 9 01 April 2003 03 June 2003