SFC Licences of SHUM Chun 沈震

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

Institution	Role	Licences	Start date	End date
China Everbright Securities Asset Management Limited 中國光大證券資產管理有限公司	RO	9	07 February 2020	15 November 2021
China Everbright Securities Asset Management Limited 中國光大證券資產管理有限公司	RO	4	07 February 2020	15 November 2021
China Everbright Securities Asset Management Limited 中國光大證券資產管理有限公司	RO	1	07 February 2020	15 November 2021
China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司	RO	9	07 February 2020	15 November 2021
China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司	RO	4	07 February 2020	15 November 2021
China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司	RO	1	07 February 2020	15 November 2021
Bright Fund Management Limited 光明投資管理有限公司	RO	9	07 February 2020	15 November 2021
Bright Fund Management Limited 光明投資管理有限公司	RO	4	07 February 2020	15 November 2021
Bright Fund Management Limited 光明投資管理有限公司	RO	1	07 February 2020	15 November 2021
China Everbright Securities Asset Management Limited 中國光大證券資產管理有限公司	RE	1	11 December 2019	07 February 2020
China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司	RE	1	11 December 2019	07 February 2020
Bright Fund Management Limited 光明投資管理有限公司	RE	1	11 December 2019	07 February 2020
China Everbright Securities Asset Management Limited 中國光大證券資產管理有限公司	RE	9	19 November 2019	07 February 2020
China Everbright Securities Asset Management Limited 中國光大證券資產管理有限公司	RE	4	19 November 2019	07 February 2020
China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司	RE	9	19 November 2019	07 February 2020
China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司	RE	4	19 November 2019	07 February 2020
Bright Fund Management Limited 光明投資管理有限公司	RE	9	19 November 2019	07 February 2020
Bright Fund Management Limited 光明投資管理有限公司	RE	4	19 November 2019	07 February 2020
PICC Asset Management (Hong Kong) Company Limited 中國人保香港資產管理有限公司	RE	4	16 August 2018	12 October 2019
PICC Asset Management (Hong Kong) Company Limited 中國人保香港資產管理有限公司	RE	9	10 August 2018	12 October 2019
China Everbright Securities Asset Management Limited 中國光大證券資產管理有限公司	RE	9	24 August 2017	31 July 2018
China Everbright Securities Asset Management Limited 中國光大證券資產管理有限公司	RE	1	24 August 2017	31 July 2018
China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司	RE	9	24 August 2017	31 July 2018
China Everbright Securities (HK) Limited 中國光大證券(香港)有限公司	RE	1	24 August 2017	31 July 2018
Silk Road International Capital Limited 絲路國際資本有限公司	RE	9	15 May 2017	07 August 2017
Silk Road International Capital Limited 絲路國際資本有限公司	RE	1	15 May 2017	07 August 2017
BOCOM International Asset Management Limited 交銀國際資產管理有限公司	RE	1	29 January 2016	30 March 2017
BOCOM International Asset Management Limited 交銀國際資產管理有限公司	RE	9	14 May 2013	30 March 2017
BOCOM International Securities Limited 交銀國際證券有限公司	RE	2	10 November 2010	30 March 2017
BOCOM International Securities Limited 交銀國際證券有限公司	RE	1	10 November 2010	30 March 2017
Tung Shing Futures (Brokers) Limited 東盛期貨(經紀)有限公司	RE	2	15 January 2008	27 October 2010
Tung Shing Securities (Brokers) Limited 東盛證券(經紀)有限公司	RE	1	15 January 2008	27 October 2010
Celestial Securities Limited 時富證券有限公司	RE	3	07 August 2006	01 June 2007
Celestial Commodities Limited 時富商品有限公司	RE	2	02 May 2006	01 June 2007
Celestial Securities Limited 時富證券有限公司	RE	1	02 May 2006	01 June 2007
Cinda International Investment Management Limited 信達國際投資管理有限公司	RE	3	14 October 2005	07 November 2005