Shum, Richard (SFC:ADQ861) 岑傑誠

SFC licenses

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

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
LGT INVESTMENT MANAGEMENT (ASIA) LIMITED	Rep	Advising on securities	2006-01-13	2006-08-07
	Rep	Asset management	2006-01-13	2006-08-07
	Rep	Dealing in securities	2006-01-13	2006-08-07
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2004-12-09	2005-01-20
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2004-12-09	2005-01-20
	Rep	Dealing in securities	2004-12-09	2005-01-20
SCHRODER INVESTMENT MANAGEMENT (HONG KONG) LIMITED	RO	Advising on futures contracts	2003-07-28	2003-12-11
	Rep	Advising on corporate finance	-	2003-06-16
	Rep	Advising on futures contracts	-	2003-07-28
	Rep	Advising on securities	-	2003-12-11
	Rep	Asset management	-	2003-12-11

SFC licenses

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

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
LGT INVESTMENT MANAGEMENT (ASIA) LIMITED	Rep	Advising on securities	2006-01-13	2006-08-07
	Rep	Asset management	2006-01-13	2006-08-07
	Rep	Dealing in securities	2006-01-13	2006-08-07
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2004-12-09	2005-01-20
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2004-12-09	2005-01-20
	Rep	Dealing in securities	2004-12-09	2005-01-20
SCHRODER INVESTMENT MANAGEMENT (HONG KONG) LIMITED	RO	Advising on futures contracts	2003-07-28	2003-12-11
	Rep	Advising on corporate finance	-	2003-06-16
	Rep	Advising on futures contracts	-	2003-07-28
	Rep	Advising on securities	-	2003-12-11
	Rep	Asset management	-	2003-12-11