Wai Sze Shum
沈慧施
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wai Sze Shum (沈慧施), a licensed former licensee with CE reference AFO652. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Lion Global Financial Limited 獅瀚環球金融有限公司 |
Rep | Type 9 - Asset management | 2015-06-04 | 2016-08-05 |
| Lion Global Financial Limited 獅瀚環球金融有限公司 |
Rep | Type 1 - Dealing in securities | 2009-03-02 | 2012-03-30 |
| Lion Global Financial Limited 獅瀚環球金融有限公司 |
Rep | Type 9 - Asset management | 2005-09-06 | 2012-03-30 |
| Lion Global Financial Limited 獅瀚環球金融有限公司 |
Rep | Type 4 - Advising on securities | 2005-07-15 | 2012-03-30 |
| Cinda International Investment Consultant Limited 信達國際投資顧問有限公司 |
Rep | Type 4 - Advising on securities | present | 2005-06-21 |
| Cinda International Investment Consultant Limited 信達國際投資顧問有限公司 |
Rep | Type 6 - Advising on corporate finance | present | 2003-12-18 |
| Cinda International Investment Consultant Limited 信達國際投資顧問有限公司 |
Rep | Type 9 - Asset management | present | 2003-12-18 |