SFC Licences of SHAM Chai Man, Peter 沈濟民

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

Institution Role Licences Start date End date
China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司
RE 1, 6 04 July 2013 17 February 2016
China Securities (International) Corporate Finance Company Limited 中信建投(國際)融資有限公司
RE 6 23 May 2013 05 June 2013
China Securities (International) Brokerage Company Limited 中信建投(國際)証券有限公司
RE 1 23 May 2013 05 June 2013
BOCI Asia Limited 中銀國際亞洲有限公司
RO 6 05 November 2008 15 September 2012
BOCI Asia Limited 中銀國際亞洲有限公司
RE 1 03 July 2007 15 September 2012
BOCI Asia Limited 中銀國際亞洲有限公司
RE 6 03 July 2007 05 November 2008