SFC Licences of SHUM Ngan, Sammy 沈顏
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| I Win Asset Management Limited 一盈資產管理有限公司 | RO | 9 | 21 June 2024 | |
| I Win Asset Management Limited 一盈資產管理有限公司 | RO | 4 | 21 June 2024 | |
| I Win Securities Limited 一盈證券有限公司 | RO | 1 | 17 November 2021 | |
| I Win Asset Management Limited 一盈資產管理有限公司 | RE | 9 | 06 October 2021 | 21 June 2024 |
| I Win Asset Management Limited 一盈資產管理有限公司 | RE | 4 | 09 September 2021 | 21 June 2024 |
| I Win Securities Limited 一盈證券有限公司 | RE | 1 | 09 September 2021 | 17 November 2021 |
| iBest Investment Services Limited | RE | 3 | 26 July 2017 | 25 January 2019 |
| Haitong International Securities Company Limited 海通國際證券有限公司 | RE | 4 | 17 November 2010 | 18 March 2021 |
| Haitong International Securities Company Limited 海通國際證券有限公司 | RE | 3 | 26 August 2004 | 16 October 2019 |
| Haitong International Futures Limited 海通國際期貨有限公司 | RE | 2 | 25 May 2004 | 18 March 2021 |
| Haitong International Securities Company Limited 海通國際證券有限公司 | RE | 1 | 25 May 2004 | 18 March 2021 |