Shum, Chun Wai 沈俊威
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 | EMPEROR SECURITIES LIMITED (HK) | Rep | Dealing in securities | 2010-06-04 | 2010-11-15 |
| 2 | Emperor Wealth Management Limited | Rep | Dealing in securities | 2010-06-04 | 2010-11-15 |
| 3 | Glory Sun Securities Limited | Rep | Advising on securities | 2018-09-24 | 2019-10-21 | Rep | Dealing in securities | 2019-06-20 | 2019-10-21 |
| 4 | HAITONG INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2014-04-22 | 2015-10-31 |
| 5 | HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Advising on securities | 2014-04-22 | 2015-10-31 | Rep | Dealing in securities | 2014-04-22 | 2015-10-31 |
| 6 | Hywin Asset Management (Hong Kong) Limited | Rep | Advising on futures contracts | 2020-09-08 | Rep | Advising on securities | 2020-09-08 | Rep | Asset management | 2020-09-08 | Rep | Dealing in securities | 2021-09-09 |
| 7 | iBest Consultants Limited | Rep | Advising on securities | 2012-02-23 | 2015-10-31 | Rep | Dealing in securities | 2012-02-23 | 2015-10-31 | Rep | Dealing in futures contracts | 2012-07-25 | 2015-10-31 |
| 8 | OnePlatform Asset Management Limited | Rep | Advising on securities | 2007-07-12 | 2008-10-08 |
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