Winnie Siu Ling Shum
沈小玲
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Winnie Siu Ling Shum (沈小玲), a licensed former licensee with CE reference ACH755. Total licence records on file: 8.
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 | present | 2007-05-29 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | present | 2007-05-29 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 4 - Advising on securities | present | 2004-09-10 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
Rep | Type 5 - Advising on futures contracts | present | 2004-09-10 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 6 - Advising on corporate finance | present | 2004-09-10 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 7 - Providing automated trading services | present | 2003-09-02 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
Rep | Type 9 - Asset management | present | 2004-09-10 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 9 - Asset management | present | 2004-09-10 |