SFC Licences of SHUM Ka Wai 沈嘉煒
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| PC Securities Limited 寶鉅證券有限公司 | RE | 1 | 18 January 2024 | |
| Orient Securities (Hong Kong) Limited 東方證券(香港)有限公司 | RE | 4 | 14 October 2022 | 08 December 2023 |
| Orient Securities (Hong Kong) Limited 東方證券(香港)有限公司 | RE | 1 | 14 October 2022 | 08 December 2023 |
| First Worldsec Securities Limited 第一金和昇證券有限公司 | RE | 4 | 11 September 2018 | 18 September 2022 |
| First Worldsec Securities Limited 第一金和昇證券有限公司 | RE | 1 | 13 March 2018 | 18 September 2022 |
| China Merchants Futures (HK) Co., Limited 招商期貨(香港)有限公司 | RE | 2 | 18 June 2014 | 31 January 2018 |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 | RE | 1 | 18 June 2014 | 31 January 2018 |
| Fulbright Futures Limited 富昌期貨有限公司 | RE | 2 | 21 July 2011 | 17 April 2014 |
| Fulbright Securities Limited 富昌證券有限公司 | RE | 1 | 21 July 2011 | 17 April 2014 |