SFC Licences of SHUM Yat Kei 沈逸基
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 | RE | 4 | 18 March 2015 | |
| HSBC Broking Forex (Asia) Limited 滙豐金融外匯(亞洲)有限公司 | RE | 3 | 21 July 2014 | |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 | RE | 1 | 21 July 2014 | |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 | RE | 2 | 21 July 2014 | |
| BOCOM International Securities Limited 交銀國際證券有限公司 | RE | 1 | 19 November 2007 | 09 July 2014 |
| BOCOM International Holdings Company Limited 交銀國際控股有限公司 | RE | 1 | 19 November 2007 | 03 March 2008 |