Hing Man Sum
岑慶文
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Hing Man Sum (岑慶文), a licensed former licensee with CE reference ABW145. Total licence records on file: 18.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2015-08-28 | 2020-12-29 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 2 - Dealing in futures contracts | 2015-08-28 | 2020-12-29 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
RO | Type 4 - Advising on securities | 2015-08-28 | 2020-12-29 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2014-12-11 | 2015-08-28 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2014-12-11 | 2015-08-28 |
| UBS Securities Asia Limited | Rep | Type 1 - Dealing in securities | present | 2014-04-11 |
| UBS Securities Hong Kong Limited | Rep | Type 1 - Dealing in securities | present | 2014-04-11 |
| UBS Derivatives Hong Kong Limited | Rep | Type 2 - Dealing in futures contracts | present | 2014-04-11 |
| UBS Securities Asia Limited | Rep | Type 2 - Dealing in futures contracts | present | 2014-04-11 |
| UBS Securities Asia Limited | Rep | Type 4 - Advising on securities | present | 2005-03-24 |
| UBS Securities Hong Kong Limited | Rep | Type 4 - Advising on securities | present | 2005-03-24 |
| UBS Derivatives Hong Kong Limited | Rep | Type 5 - Advising on futures contracts | present | 2005-02-07 |
| UBS Securities Asia Limited | Rep | Type 5 - Advising on futures contracts | present | 2005-02-04 |
| UBS Securities Asia Limited | Rep | Type 6 - Advising on corporate finance | present | 2005-03-24 |
| UBS Securities Hong Kong Limited | Rep | Type 6 - Advising on corporate finance | present | 2005-03-24 |
| UBS Securities Asia Limited | Rep | Type 9 - Asset management | present | 2005-03-24 |
| UBS Securities Hong Kong Limited | Rep | Type 9 - Asset management | present | 2005-03-24 |
| UBS Derivatives Hong Kong Limited | Rep | Type 9 - Asset management | present | 2005-02-07 |