Yat Kei Shum
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yat Kei Shum (沈逸基), a licensed Representative with CE reference APZ540. Currently licensed at 1 firm(s): HSBC Broking Securities (Asia) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts; Type 3 - Leveraged foreign exchange trading; Type 4 - Advising on securities. This person has 19.0 years of SFC licence history. Total licence records on file: 12.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2026-11-02 | present |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2026-11-02 | present |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 3 - Leveraged foreign exchange trading | 2026-11-02 | present |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 4 - Advising on securities | 2026-11-02 | present |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2026-08-03 | 2026-11-01 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 4 - Advising on securities | 2026-08-03 | 2026-11-01 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 4 - Advising on securities | 2015-03-18 | 2026-08-02 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2014-07-21 | 2026-08-02 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2014-07-21 | 2026-11-01 |
| HSBC Broking Forex (Asia) Limited 滙豐金融外匯(亞洲)有限公司 |
Rep | Type 3 - Leveraged foreign exchange trading | 2014-07-21 | 2026-11-01 |
| BOCOM International Securities Limited 交銀國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2007-11-19 | 2014-07-09 |
| BOCOM International Holdings Company Limited 交銀國際控股有限公司 |
Rep | Type 1 - Dealing in securities | 2007-11-19 | 2008-03-03 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Yat Kei 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.