SFC Licences of KIM Bum Soo

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

Institution Role Licences Start date End date
Barclays Capital Asia Limited 巴克萊亞洲有限公司 RE 2 07 August 2017
Barclays Capital Asia Limited 巴克萊亞洲有限公司 RE 1 07 August 2017
BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 RE 2 11 June 2014 03 March 2017
BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 RE 1 11 June 2014 03 March 2017
Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 RE 5 27 February 2013 29 March 2014
Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 RE 2 27 February 2013 29 March 2014
Morgan Stanley Hong Kong Futures Limited RE 2 18 April 2006 16 August 2010
Morgan Stanley Hong Kong Securities Limited RE 1 18 April 2006 16 August 2010
Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 RE 1 18 April 2006 16 August 2010
Morgan Stanley Hong Kong Futures Limited RE 7 18 April 2006 16 August 2010
Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 RE 7 18 April 2006 16 August 2010
Paribas Asia Equity Limited (trading as Paribas) 巴黎巴亞洲証券有限公司 RE 1 14 September 2004 15 April 2006
BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 RE 1 14 September 2004 15 April 2006
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 RE 1 01 April 2003 11 September 2003
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 RE 4 01 April 2003 11 September 2003
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 RE 6 01 April 2003 11 September 2003
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 RE 9 01 April 2003 11 September 2003