SFC Licences of SHUM Chung Lai, Tommy 沈仲禮

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

Institution Role Licences Start date End date
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RE 2 20 November 2019 29 July 2022
Credit Suisse Securities (Hong Kong) Limited 瑞士信貸證券(香港)有限公司 RE 1 07 November 2019 29 July 2022
Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 RE 1 07 November 2019 29 July 2022
HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 RE 1 10 July 2007 15 July 2019
Natixis Asia Limited RE 1 11 August 2006 31 October 2006