Portia Shum
岑立君
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Portia Shum (岑立君), a licensed former licensee with CE reference AFJ005. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Marshall Wace Asia Limited | Rep | Type 9 — Asset management | 2007-02-26 | 2016-11-30 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | present | 2006-06-10 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 4 — Advising on securities | present | 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 | present | 2004-10-13 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 9 — Asset management | present | 2004-10-13 |