Patrick Wai Bill Shum
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Patrick Wai Bill Shum (岑維標), a licensed Responsible Officer with CE reference AFB711. Currently licensed at 1 firm(s): China Merchants Securities (HK) Co., Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 20.2 years of SFC licence history. Total licence records on file: 24.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
RO | Type 9 - Asset management | 2013-11-06 | present |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
RO | Type 4 - Advising on securities | 2011-08-31 | present |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2010-11-22 | present |
| CMS Capital (HK) Co., Limited 招商資本(香港)有限公司 |
RO | Type 9 - Asset management | 2012-04-12 | 2017-11-21 |
| CMS Capital (HK) Co., Limited 招商資本(香港)有限公司 |
RO | Type 4 - Advising on securities | 2012-02-14 | 2017-11-21 |
| CMS Asset Management (HK) Co., Limited 招商證券資產管理(香港)有限公司 |
RO | Type 9 - Asset management | 2009-11-30 | 2010-09-30 |
| CMS Asset Management (HK) Co., Limited 招商證券資產管理(香港)有限公司 |
Rep | Type 9 - Asset management | 2009-09-18 | 2009-11-30 |
| Morgan Stanley Hong Kong Futures Limited | RO | Type 2 - Dealing in futures contracts | 2006-07-17 | 2006-09-04 |
| Morgan Stanley Hong Kong Futures Limited | RO | Type 7 - Providing automated trading services | 2006-07-17 | 2006-09-04 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 1 - Dealing in securities | 2005-11-01 | 2006-09-04 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2005-07-21 | 2006-09-04 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 - Dealing in futures contracts | 2005-07-21 | 2006-07-17 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 7 - Providing automated trading services | 2005-07-21 | 2006-09-04 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 7 - Providing automated trading services | 2005-07-21 | 2006-07-17 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2004-08-23 | 2005-07-19 |
| Paribas Asia Equity Limited 巴黎巴亞洲証券有限公司 |
RO | Type 1 - Dealing in securities | Pre-2003 | 2005-07-19 |
| B.N.P. Securities (Hong Kong) Limited 法國國家巴黎証券(香港)有限公司 |
RO | Type 1 - Dealing in securities | Pre-2003 | 2003-06-03 |
| BNP Paribas Futures (Hong Kong) Limited 法國巴黎期貨(香港)有限公司 |
RO | Type 2 - Dealing in futures contracts | Pre-2003 | 2005-07-19 |
| Paribas Asia Equity Limited 巴黎巴亞洲証券有限公司 |
RO | Type 4 - Advising on securities | Pre-2003 | 2004-08-03 |
| B.N.P. Securities (Hong Kong) Limited 法國國家巴黎証券(香港)有限公司 |
RO | Type 4 - Advising on securities | Pre-2003 | 2003-06-03 |
| BNP Paribas Futures (Hong Kong) Limited 法國巴黎期貨(香港)有限公司 |
RO | Type 5 - Advising on futures contracts | Pre-2003 | 2004-11-29 |
| BNP Paribas Futures (Hong Kong) Limited 法國巴黎期貨(香港)有限公司 |
RO | Type 9 - Asset management | Pre-2003 | 2004-11-29 |
| Paribas Asia Equity Limited 巴黎巴亞洲証券有限公司 |
RO | Type 9 - Asset management | Pre-2003 | 2004-08-03 |
| B.N.P. Securities (Hong Kong) Limited 法國國家巴黎証券(香港)有限公司 |
RO | Type 9 - Asset management | Pre-2003 | 2003-06-03 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Patrick Wai Bill 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.