Ben Shum
沈斌
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ben Shum (沈斌), a licensed former licensee with CE reference AWJ362. This person has 1.4 years of SFC licence history. Total licence records on file: 3.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Shang International Finance Limited 尚融國際金融有限公司 |
Rep | Type 1 - Dealing in securities | 2010-11-25 | 2012-04-02 |
| Shang International Finance Limited 尚融國際金融有限公司 |
Rep | Type 4 - Advising on securities | 2010-11-25 | 2012-04-02 |
| Shang International Finance Limited 尚融國際金融有限公司 |
Rep | Type 6 - Advising on corporate finance | 2010-11-25 | 2012-04-02 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Ben 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.