Yiu Kai Shum
岑堯階
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yiu Kai Shum (岑堯階), a licensed former licensee with CE reference AAH828. Total licence records on file: 4.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| DaoKou Securities Limited 道口證券有限公司 |
RO | Type 1 — Dealing in securities | present | 2014-04-13 |
| DaoKou Securities Limited 道口證券有限公司 |
RO | Type 4 — Advising on securities | present | 2004-09-13 |
| DaoKou Securities Limited 道口證券有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2004-09-13 |
| DaoKou Securities Limited 道口證券有限公司 |
RO | Type 9 — Asset management | present | 2004-09-13 |