Shum, Kai Fung 岑啟豐 SFC Licences and HKMA Registrations (ID 74334)

Key Data Licences & registrations Public Disciplinary Actions

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

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.