SFC licenceholder APF965 SHUM Chun Wai 沈俊威

Licences

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

Institution Role Licences Start date End date
Hywin Asset Management (Hong Kong) Limited 海銀資產管理(香港)有限公司 RE 5 (Advising on Futures Contracts), 9 (Asset Management), 4 (Advising on Securities) 2020-09-08
Glory Sun Securities Limited 寶新證券有限公司 RE 1 (Dealing in Securities) 2019-06-20 2019-10-21
Glory Sun Securities Limited 寶新證券有限公司 RE 4 (Advising on Securities) 2018-09-24 2019-10-21
Haitong International Securities Company Limited 海通國際證券有限公司 RE 1 (Dealing in Securities), 4 (Advising on Securities) 2014-04-22 2015-10-31
Haitong International Futures Limited 海通國際期貨有限公司 RE 2 (Dealing in Futures Contracts) 2014-04-22 2015-10-31
iBest Consultants Limited RE 2 (Dealing in Futures Contracts) 2012-07-25 2015-10-31
iBest Consultants Limited RE 1 (Dealing in Securities), 4 (Advising on Securities) 2012-02-23 2015-10-31
Emperor Wealth Management Limited 英皇財富管理有限公司 RE 1 (Dealing in Securities) 2010-06-04 2010-11-15
Emperor Securities Limited 英皇證券(香港)有限公司 RE 1 (Dealing in Securities) 2010-06-04 2010-11-15
OnePlatform Asset Management Limited 環一資產管理有限公司 RE 4 (Advising on Securities) 2007-07-12 2008-10-08