SFC Licences of SHUM Portia 岑立君

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

Institution Role Licences Start date End date
Marshall Wace Asia Limited
RE 9 26 February 2007 30 November 2016
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司
RE 1 01 April 2003 10 June 2006
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司
RE 4, 6, 9 01 April 2003 13 October 2004