Kai Fung Shum
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kai Fung Shum (岑啟豐), a licensed Responsible Officer with CE reference APV084. Currently licensed at 2 firm(s): ICBC International Securities Limited, ICBC International Futures Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts; Type 4 - Advising on securities. This person has 18.4 years of SFC licence history. Total licence records on file: 21.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| ICBC International Securities Limited 工銀國際證券有限公司 |
RO | Type 1 - Dealing in securities | 2019-12-06 | present |
| ICBC International Futures Limited 工銀國際期貨有限公司 |
RO | Type 2 - Dealing in futures contracts | 2019-12-06 | present |
| ICBC International Securities Limited 工銀國際證券有限公司 |
RO | Type 4 - Advising on securities | 2019-12-06 | present |
| ICBC International Securities Limited 工銀國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2019-08-22 | 2019-12-06 |
| ICBC International Futures Limited 工銀國際期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2019-08-22 | 2019-12-06 |
| ICBC International Securities Limited 工銀國際證券有限公司 |
Rep | Type 4 - Advising on securities | 2019-08-22 | 2019-12-06 |
| Hao Tian Asset Management Limited 昊天資產管理有限公司 |
Rep | Type 9 - Asset management | 2018-07-31 | 2019-08-10 |
| Hao Tian International Futures Limited 昊天國際期貨有限公司 |
RO | Type 2 - Dealing in futures contracts | 2018-07-31 | 2019-08-10 |
| Hao Tian International Futures Limited 昊天國際期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2018-02-28 | 2018-07-31 |
| Hao Tian International Securities Limited 昊天國際證券有限公司 |
RO | Type 1 - Dealing in securities | 2017-08-16 | 2019-08-10 |
| Hao Tian International Securities Limited 昊天國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2017-03-02 | 2017-08-16 |
| ICBC International Securities Limited 工銀國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2015-04-15 | 2017-02-17 |
| ICBC International Futures Limited 工銀國際期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2015-04-15 | 2017-02-17 |
| Orient Securities (Hong Kong) Limited 東方證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2013-03-25 | 2015-03-20 |
| Orient Futures (Hong Kong) Limited 東方期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2013-03-25 | 2015-03-20 |
| Soochow Securities International Futures Limited 東吳證券國際期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2012-12-17 | 2013-03-05 |
| Soochow Securities International Brokerage Limited 東吳證券國際經紀有限公司 |
Rep | Type 1 - Dealing in securities | 2012-11-08 | 2013-03-05 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2009-06-29 | 2012-10-30 |
| BOCOM International Securities Limited 交銀國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2008-01-24 | 2009-06-24 |
| BOCOM International Holdings Company Limited 交銀國際控股有限公司 |
Rep | Type 1 - Dealing in securities | 2008-01-24 | 2008-03-03 |
| Get Nice Securities Limited 結好證券有限公司 |
Rep | Type 1 - Dealing in securities | 2007-11-27 | 2008-01-02 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Kai Fung 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.