Hing Man Sum
岑慶文
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Hing Man Sum (岑慶文), a licensed former licensee with CE reference ABW145. This person has 17.1 years of SFC licence history. Total licence records on file: 18.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2015-08-28 | 2020-12-29 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 2 - Dealing in futures contracts | 2015-08-28 | 2020-12-29 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 4 - Advising on securities | 2015-08-28 | 2020-12-29 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2014-12-11 | 2015-08-28 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2014-12-11 | 2015-08-28 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | Pre-2003 | 2014-04-11 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | Pre-2003 | 2014-04-11 |
| UBS Derivatives Hong Kong Limited | Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 2014-04-11 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 2014-04-11 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | Pre-2003 | 2005-03-24 |
| UBS Securities Hong Kong Limited | Rep | Type 4 - Advising on securities | Pre-2003 | 2005-03-24 |
| UBS Derivatives Hong Kong Limited | Rep | Type 5 - Advising on futures contracts | Pre-2003 | 2005-02-07 |
| UBS Securities Asia Limited | Rep | Type 5 - Advising on futures contracts | Pre-2003 | 2005-02-04 |
| UBS Securities Asia Limited | Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2005-03-24 |
| UBS Securities Hong Kong Limited | Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2005-03-24 |
| UBS Securities Asia Limited | Rep | Type 9 - Asset management | Pre-2003 | 2005-03-24 |
| UBS Securities Hong Kong Limited | Rep | Type 9 - Asset management | Pre-2003 | 2005-03-24 |
| UBS Derivatives Hong Kong Limited | Rep | Type 9 - Asset management | Pre-2003 | 2005-02-07 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Hing Man Sum 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.