SFC Licences of SHUM Wah Nin 岑華年
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Topaz Financial Group Limited 瑭明金融集團有限公司 | RE | 4 | 26 February 2024 | |
| Topaz Financial Group Limited 瑭明金融集團有限公司 | RE | 2 | 26 February 2024 | |
| Topaz Financial Group Limited 瑭明金融集團有限公司 | RE | 1 | 26 February 2024 | |
| BOCI Securities Limited 中銀國際證券有限公司 | RE | 4 | 29 April 2021 | 31 January 2024 |
| BOCI Securities Limited 中銀國際證券有限公司 | RE | 2 | 06 January 2014 | 31 January 2024 |
| BOCI Securities Limited 中銀國際證券有限公司 | RE | 1 | 06 January 2014 | 31 January 2024 |
| BOCI Securities Limited 中銀國際證券有限公司 | RE | 3 | 06 January 2014 | 26 November 2014 |
| HSBC Broking Forex (Asia) Limited 滙豐金融外匯(亞洲)有限公司 | RE | 3 | 31 May 2007 | 06 December 2013 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 | RE | 1 | 22 January 2007 | 06 December 2013 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 | RE | 2 | 22 January 2007 | 06 December 2013 |
| HSBC Broking Futures (Hong Kong) Limited 滙豐金融期貨(香港)有限公司 | RE | 2 | 22 January 2007 | 22 January 2013 |