SFC licenceholder ALY610 SHUM Kei Yiu, Daniel 沈其耀

Licences

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

Updated: 13 November 2020

Institution Role Licences Start date End date
Sunfund Securities Limited 東皓證券有限公司 RO [1] (Dealing in Securities), [4] (Advising on Securities) 04 June 2020
Sunfund Fund Management Limited 東皓基金管理有限公司 RO [9] (Asset Management) 06 March 2020
Fantasia Asset Management Limited 花樣年資產管理有限公司 RO [9] (Asset Management) 03 December 2018 23 October 2019
China AF Asset Management Limited 中國農信資產管理有限公司 RO [9] (Asset Management) 17 August 2017 16 November 2018
Polymathy Capital Limited 博今資本有限公司 RO [9] (Asset Management) 17 December 2013 26 July 2015
Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 RE [4] (Advising on Securities) 17 January 2011 17 August 2012
Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 RE [1] (Dealing in Securities), [4] (Advising on Securities) 28 April 2005 20 December 2010