Catherine Pui Kwan Shum
岑佩君
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Catherine Pui Kwan Shum (岑佩君), a licensed former licensee with CE reference AKL739. This person has 12.1 years of SFC licence history. Total licence records on file: 14.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| BlackRock Asset Management North Asia Limited 貝萊德資產管理北亞有限公司 |
Rep | Type 1 - Dealing in securities | 2013-10-15 | 2018-05-25 |
| BlackRock (Hong Kong) Limited 貝萊德(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2013-10-15 | 2014-12-31 |
| BlackRock Asset Management North Asia Limited 貝萊德資產管理北亞有限公司 |
Rep | Type 4 - Advising on securities | 2013-10-15 | 2015-07-24 |
| BlackRock (Hong Kong) Limited 貝萊德(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2013-10-15 | 2014-12-31 |
| BlackRock Asset Management North Asia Limited 貝萊德資產管理北亞有限公司 |
Rep | Type 9 - Asset management | 2013-10-15 | 2015-07-24 |
| BlackRock (Hong Kong) Limited 貝萊德(香港)有限公司 |
Rep | Type 9 - Asset management | 2013-10-15 | 2014-12-31 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2012-06-26 | 2013-04-18 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2010-10-21 | 2013-04-18 |
| Daiwa SB Investments (HK) Limited 大和住銀投信投資顧問(香港)有限公司 |
Rep | Type 9 - Asset management | 2008-04-14 | 2009-10-28 |
| Daiwa SB Investments (HK) Limited 大和住銀投信投資顧問(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2008-03-17 | 2009-10-28 |
| Daiwa SB Investments (HK) Limited 大和住銀投信投資顧問(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2008-03-17 | 2009-10-28 |
| DWS Investments Hong Kong Limited 德意志投資香港有限公司 |
Rep | Type 4 - Advising on securities | 2006-04-12 | 2008-03-03 |
| DWS Investments Hong Kong Limited 德意志投資香港有限公司 |
Rep | Type 1 - Dealing in securities | 2006-03-28 | 2008-03-03 |
| JPMorgan Funds (Asia) Limited 摩根基金(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2004-04-28 | 2005-09-30 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Catherine Pui Kwan Shum during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.