SFC Licences of SHUM Yu Kwan 沈俞君
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 | RE | 2 | 16 February 2009 | 09 July 2011 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 | RE | 1 | 16 February 2009 | 09 July 2011 |
| CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 | RE | 2 | 08 April 2008 | 12 November 2008 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 | RE | 1 | 08 April 2008 | 12 November 2008 |