SFC Licences of SHUM Shuk Yee 沈淑怡
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Crosby Securities Limited 高誠證券有限公司 | RE | 4 | 06 July 2022 | |
| Crosby Securities Limited 高誠證券有限公司 | RE | 1 | 06 July 2022 | |
| Guoyuan Securities Brokerage (Hong Kong) Limited 國元証券經紀(香港)有限公司 | RE | 4 | 24 June 2019 | 24 June 2022 |
| Guoyuan Securities Brokerage (Hong Kong) Limited 國元証券經紀(香港)有限公司 | RE | 1 | 24 June 2019 | 24 June 2022 |
| Zhongtai International Securities Limited 中泰國際證券有限公司 | RE | 4 | 19 October 2018 | 08 June 2019 |
| Zhongtai International Securities Limited 中泰國際證券有限公司 | RE | 1 | 19 October 2018 | 08 June 2019 |
| Okasan International (Asia) Limited 岡三國際(亞洲)有限公司 | RE | 4 | 21 November 2016 | 01 September 2018 |
| Okasan International (Asia) Limited 岡三國際(亞洲)有限公司 | RE | 1 | 21 November 2016 | 01 September 2018 |
| Greenfield Asset Management Limited 景源資產管理有限公司 | RE | 9 | 24 November 2014 | 04 November 2016 |
| Greenfield Asset Management Limited 景源資產管理有限公司 | RE | 4 | 24 November 2014 | 04 November 2016 |