Yuk Yee Shum
岑玉如
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yuk Yee Shum (岑玉如), a licensed former licensee with CE reference AEJ175. This person has 6.1 years of SFC licence history. Total licence records on file: 14.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2021-06-23 | 2021-08-16 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2021-05-03 | 2021-08-16 |
| CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2021-05-03 | 2021-08-16 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2020-09-08 | 2021-04-22 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2020-09-08 | 2021-04-22 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 2 - Dealing in futures contracts | 2010-12-06 | 2012-05-14 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2010-03-10 | 2012-05-14 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 - Dealing in futures contracts | 2010-03-10 | 2010-12-06 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 4 - Advising on securities | 2005-10-19 | 2006-04-13 |
| UBS Asset Management (Hong Kong) Limited | Rep | Type 9 - Asset management | 2005-10-19 | 2006-04-13 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2005-09-29 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-10-13 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-10-13 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-10-13 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Yuk Yee 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.