Anthony Chi-Chung Shum
岑志中
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Anthony Chi-Chung Shum (岑志中), a licensed former licensee with CE reference AFR216. This person has 13.6 years of SFC licence history. Total licence records on file: 13.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
RO | Type 1 - Dealing in securities | 2016-02-01 | 2017-10-11 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
RO | Type 4 - Advising on securities | 2016-02-01 | 2017-10-11 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
RO | Type 6 - Advising on corporate finance | 2016-02-01 | 2017-10-11 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2012-10-22 | 2016-02-01 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 4 - Advising on securities | 2012-10-22 | 2016-02-01 |
| Mizuho Securities Asia Limited 瑞穗證券亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | 2012-10-22 | 2016-02-01 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2010-08-31 | 2011-12-31 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2010-08-31 | 2011-12-31 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2010-08-31 | 2011-12-31 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2010-06-28 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-08-30 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2010-06-28 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-08-30 |