Jimmy Chi Kwan Sham
沈治鈞
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Jimmy Chi Kwan Sham (沈治鈞), a licensed former licensee with CE reference AFO415. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Karl-Thomson Securities Company Limited 高信證券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-12-12 |
| Karl-Thomson Securities Company Limited 高信證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-12-12 |
| Karl-Thomson Securities Company Limited 高信證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-12-12 |
| Karl-Thomson Securities Company Limited 高信證券有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-12-12 |
| Karl-Thomson Securities Company Limited 高信證券有限公司 |
Rep | Type 9 — Asset management | present | 2003-12-12 |