SFC licenceholder ANT372 SHUM Chung Lai, Tommy 沈仲禮

Licences

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

Updated: 28 February 2020

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