SFC Licences of SHUM Kai Fung 岑啟豐

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

Institution Role Licences Start date End date
ICBC International Futures Limited 工銀國際期貨有限公司 RO 2 06 December 2019
ICBC International Securities Limited 工銀國際證券有限公司 RO 4 06 December 2019
ICBC International Securities Limited 工銀國際證券有限公司 RO 1 06 December 2019
ICBC International Futures Limited 工銀國際期貨有限公司 RE 2 22 August 2019 06 December 2019
ICBC International Securities Limited 工銀國際證券有限公司 RE 4 22 August 2019 06 December 2019
ICBC International Securities Limited 工銀國際證券有限公司 RE 1 22 August 2019 06 December 2019
Hao Tian International Futures Limited 昊天國際期貨有限公司 RO 2 31 July 2018 10 August 2019
Hao Tian Asset Management Limited 昊天資產管理有限公司 RE 9 31 July 2018 10 August 2019
Hao Tian International Futures Limited 昊天國際期貨有限公司 RE 2 28 February 2018 31 July 2018
Hao Tian International Securities Limited 昊天國際證券有限公司 RO 1 16 August 2017 10 August 2019
Hao Tian International Securities Limited 昊天國際證券有限公司 RE 1 02 March 2017 16 August 2017
ICBC International Futures Limited 工銀國際期貨有限公司 RE 2 15 April 2015 17 February 2017
ICBC International Securities Limited 工銀國際證券有限公司 RE 1 15 April 2015 17 February 2017
Orient Futures (Hong Kong) Limited 東方期貨(香港)有限公司 RE 2 25 March 2013 20 March 2015
Orient Securities (Hong Kong) Limited 東方證券(香港)有限公司 RE 1 25 March 2013 20 March 2015
Soochow Securities International Futures Limited 東吳證券國際期貨有限公司 RE 2 17 December 2012 05 March 2013
Soochow Securities International Brokerage Limited 東吳證券國際經紀有限公司 RE 1 08 November 2012 05 March 2013
CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 RE 1 29 June 2009 30 October 2012
BOCOM International Securities Limited 交銀國際證券有限公司 RE 1 24 January 2008 24 June 2009
BOCOM International Holdings Company Limited 交銀國際控股有限公司 RE 1 24 January 2008 03 March 2008
Get Nice Securities Limited 結好證券有限公司 RE 1 27 November 2007 02 January 2008