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 |
|---|---|---|---|---|
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 | RE | 2 | 13 September 2022 | 09 June 2023 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 | RE | 1 | 13 September 2022 | 09 June 2023 |
| 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 |