Jerry Shum
岑立
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Jerry Shum (岑立), a licensed former licensee with CE reference AEO903. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| JW Capital Securities Limited 君威資本證券有限公司 |
Rep | Type 6 — Advising on corporate finance | 2007-11-27 | 2009-06-01 |
| JW Capital Securities Limited 君威資本證券有限公司 |
RO | Type 4 — Advising on securities | 2007-11-27 | 2009-06-01 |
| JW Capital Securities Limited 君威資本證券有限公司 |
RO | Type 9 — Asset management | 2007-11-27 | 2009-06-01 |
| JW Capital Securities Limited 君威資本證券有限公司 |
Rep | Type 9 — Asset management | 2007-10-10 | 2007-11-27 |
| SA Capital Limited |
RO | Type 9 — Asset management | 2006-12-12 | 2007-04-10 |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2004-08-09 | 2005-06-01 |