Richard Shum
岑傑誠
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Richard Shum (岑傑誠), a licensed former licensee with CE reference ADQ861. This person has 1.4 years of SFC licence history. Total licence records on file: 11.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| LGT Investment Management (Asia) Limited | Rep | Type 1 - Dealing in securities | 2006-01-13 | 2006-08-07 |
| LGT Investment Management (Asia) Limited | Rep | Type 4 - Advising on securities | 2006-01-13 | 2006-08-07 |
| LGT Investment Management (Asia) Limited | Rep | Type 9 - Asset management | 2006-01-13 | 2006-08-07 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2004-12-09 | 2005-01-20 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 - Dealing in securities | 2004-12-09 | 2005-01-20 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 2 - Dealing in futures contracts | 2004-12-09 | 2005-01-20 |
| Schroder Investment Management (Hong Kong) Limited | RO | Type 5 - Advising on futures contracts | 2003-07-28 | 2003-12-11 |
| Schroder Investment Management (Hong Kong) Limited | Rep | Type 4 - Advising on securities | Pre-2003 | 2003-12-11 |
| Schroder Investment Management (Hong Kong) Limited | Rep | Type 5 - Advising on futures contracts | Pre-2003 | 2003-07-28 |
| Schroder Investment Management (Hong Kong) Limited | Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2003-06-16 |
| Schroder Investment Management (Hong Kong) Limited | Rep | Type 9 - Asset management | Pre-2003 | 2003-12-11 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Richard 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.