SFC Licences of SHUM Kit 沈杰

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

Institution Role Licences Start date End date
CIF Asset Management Limited 混沌天成國際資產管理有限公司 RE 9 09 October 2017
Cathay Securities (Hong Kong) Limited 國泰證券(香港)有限公司 RE 4 20 December 2016 31 August 2017
Cathay Securities (Hong Kong) Limited 國泰證券(香港)有限公司 RE 1 20 December 2016 31 August 2017
Invesco Hong Kong Limited (trading as Invesco Asia Pacific) 景順投資管理有限公司(以景順投資管理名義經營業務) RE 9 03 August 2011 07 December 2012
CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 RE 2 17 December 2007 09 July 2011
CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 RE 1 17 December 2007 09 July 2011
CSC Futures (HK) Limited 群益期貨(香港)有限公司 RE 2 28 July 2006 13 December 2007
CSC Securities (HK) Limited 群益證券(香港)有限公司 RE 1 28 June 2006 13 December 2007
Sinolink Securities (Hong Kong) Company Limited 國金證券(香港)有限公司 RE 4 31 August 2005 23 June 2006
Sinolink Securities (Hong Kong) Company Limited 國金證券(香港)有限公司 RE 1 27 February 2004 23 June 2006
Sinolink Securities (Hong Kong) Company Limited 國金證券(香港)有限公司 RE 9 06 April 2004 21 November 2005
Prime Capital Management Company Limited 湧金資產管理有限公司 RE 9 13 December 2004 31 August 2005
Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 RE 2 20 August 2003 06 November 2003