Shum, Kai Fung 岑啟豐

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SFC licenses

Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.

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Organisation Role Activity From Until
1 BOCOM International Holdings Company Limited Rep Dealing in securities 2008-01-24 2008-03-03
2 BOCOM International Securities Limited Rep Dealing in securities 2008-01-24 2009-06-24
3 CITIC Securities Brokerage (HK) Limited Rep Dealing in securities 2009-06-29 2012-10-30
4 GET NICE SECURITIES LIMITED Rep Dealing in securities 2007-11-27 2008-01-02
5 Hao Tian Asset Management Limited Rep Asset management 2018-07-31 2019-08-10
6 Hao Tian International Futures Limited Rep Dealing in futures contracts 2018-02-28 2018-07-31
RO Dealing in futures contracts 2018-07-31 2019-08-10
7 Hao Tian International Securities Limited Rep Dealing in securities 2017-03-02 2017-08-16
RO Dealing in securities 2017-08-16 2019-08-10
8 ICBC INTERNATIONAL FUTURES LIMITED Rep Dealing in futures contracts 2015-04-15 2017-02-17
Rep Dealing in futures contracts 2019-08-22 2019-12-06
RO Dealing in futures contracts 2019-12-06
9 ICBC INTERNATIONAL SECURITIES LIMITED Rep Dealing in securities 2015-04-15 2017-02-17
Rep Advising on securities 2019-08-22 2019-12-06
Rep Dealing in securities 2019-08-22 2019-12-06
RO Advising on securities 2019-12-06
RO Dealing in securities 2019-12-06
10 ORIENT FUTURES (HONG KONG) LIMITED Rep Dealing in futures contracts 2013-03-25 2015-03-20
11 ORIENT SECURITIES (HONG KONG) LIMITED Rep Dealing in securities 2013-03-25 2015-03-20
12 Soochow Securities International Brokerage Limited Rep Dealing in securities 2012-11-08 2013-03-05
13 Soochow Securities International Futures Limited Rep Dealing in futures contracts 2012-12-17 2013-03-05

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