Wilfred Wai Kei Sum
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wilfred Wai Kei Sum (岑偉基), a licensed Responsible Officer with CE reference ABW953. Currently licensed at 1 firm(s): Maxa Capital Limited. Active regulated activities: Type 1 - Dealing in securities; Type 6 - Advising on corporate finance. This person has 21.6 years of SFC licence history. Total licence records on file: 21.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Maxa Capital Limited 邁時資本有限公司 |
RO | Type 1 - Dealing in securities | 2025-05-20 | present |
| Maxa Capital Limited 邁時資本有限公司 |
RO | Type 6 - Advising on corporate finance | 2025-05-20 | present |
| Maxa Capital Limited 邁時資本有限公司 |
Rep | Type 1 - Dealing in securities | 2025-03-25 | 2025-05-20 |
| Maxa Capital Limited 邁時資本有限公司 |
Rep | Type 6 - Advising on corporate finance | 2025-03-25 | 2025-05-20 |
| BOCOM International (Asia) Limited 交銀國際(亞洲)有限公司 |
RO | Type 1 - Dealing in securities | 2017-08-10 | 2024-08-27 |
| BOCOM International Securities Limited 交銀國際證券有限公司 |
RO | Type 1 - Dealing in securities | 2017-08-10 | 2024-08-27 |
| BOCOM International (Asia) Limited 交銀國際(亞洲)有限公司 |
RO | Type 6 - Advising on corporate finance | 2017-08-10 | 2024-08-27 |
| BOCOM International (Asia) Limited 交銀國際(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2017-04-13 | 2017-08-10 |
| BOCOM International Securities Limited 交銀國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2017-04-13 | 2017-08-10 |
| BOCOM International Securities Limited 交銀國際證券有限公司 |
Rep | Type 4 - Advising on securities | 2017-04-13 | 2024-08-27 |
| BOCOM International (Asia) Limited 交銀國際(亞洲)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2017-04-13 | 2017-08-10 |
| CEB International Capital Corporation Limited 光銀國際資本有限公司 |
Rep | Type 4 - Advising on securities | 2016-11-23 | 2016-12-28 |
| CEB International Capital Corporation Limited 光銀國際資本有限公司 |
RO | Type 1 - Dealing in securities | 2016-11-23 | 2016-12-28 |
| CEB International Capital Corporation Limited 光銀國際資本有限公司 |
RO | Type 6 - Advising on corporate finance | 2016-11-23 | 2016-12-28 |
| BOCOM International Securities Limited 交銀國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2015-08-11 | 2016-09-06 |
| BOCOM International (Asia) Limited 交銀國際(亞洲)有限公司 |
RO | Type 1 - Dealing in securities | 2008-09-12 | 2016-09-06 |
| BOCOM International (Asia) Limited 交銀國際(亞洲)有限公司 |
RO | Type 6 - Advising on corporate finance | 2008-09-12 | 2016-09-06 |
| Haitong International Capital (HK) Limited 海通國際融資(香港)有限公司 |
RO | Type 6 - Advising on corporate finance | 2008-07-24 | 2008-09-08 |
| KGI Capital (Hong Kong) Limited 凱基金融(香港)有限公司 |
RO | Type 6 - Advising on corporate finance | 2005-08-18 | 2008-04-21 |
| KGI Wealth Management Limited 凱基財富管理有限公司 |
RO | Type 6 - Advising on corporate finance | 2004-05-19 | 2008-04-21 |
| KGI Wealth Management Limited 凱基財富管理有限公司 |
Rep | Type 6 - Advising on corporate finance | 2003-09-04 | 2004-05-19 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Wilfred Wai Kei Sum 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.