Yee Charmaine Shum
沈漪
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yee Charmaine Shum (沈漪), a licensed former licensee with CE reference AHK978. This person has 3.2 years of SFC licence history. Total licence records on file: 7.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 - Dealing in securities | 2003-10-17 | 2006-06-02 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 2 - Dealing in futures contracts | 2003-10-17 | 2006-06-02 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2006-06-02 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2003-10-15 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2003-10-15 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 7 - Providing automated trading services | Pre-2003 | 2003-10-15 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2003-10-15 |