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. Total licence records on file: 14.
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 |