Yiu Kai Shum
岑堯階
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yiu Kai Shum (岑堯階), a licensed former licensee with CE reference AAH828. This person has 11.0 years of SFC licence history. Total licence records on file: 4.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| DaoKou Securities Limited 道口證券有限公司 |
RO | Type 1 - Dealing in securities | Pre-2003 | 2014-04-13 |
| DaoKou Securities Limited 道口證券有限公司 |
RO | Type 4 - Advising on securities | Pre-2003 | 2004-09-13 |
| DaoKou Securities Limited 道口證券有限公司 |
RO | Type 6 - Advising on corporate finance | Pre-2003 | 2004-09-13 |
| DaoKou Securities Limited 道口證券有限公司 |
RO | Type 9 - Asset management | Pre-2003 | 2004-09-13 |
Worked alongside
The 9 closest colleagues, strongest tie first — individuals licensed at the same firm as Yiu Kai Shum during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.
| Name | Shared firm | Overlap |
|---|---|---|
| Siu Leung Lam | DaoKou Securities Limited | 2003–2014 |
| Po Kuen Cheung | DaoKou Securities Limited | 2003–2014 |
| Yu Sing Lee | DaoKou Securities Limited | 2003–2014 |
| Wai Man Lo | DaoKou Securities Limited | 2003–2014 |
| Hai Chain Woo | DaoKou Securities Limited | 2003–2014 |
| Hau Ping Hu | DaoKou Securities Limited | 2003–2011 |
| Nai Chiu Li | DaoKou Securities Limited | 2003 |
| Kin Lun Lai | DaoKou Securities Limited | 2014 |
| Diana Siu Lan Lau | DaoKou Securities Limited | 2014 |