Ngai Ho Shum
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ngai Ho Shum (沈毅豪), a licensed Responsible Officer with CE reference ALV094. Currently licensed at 2 firm(s): Arta Global Markets Limited, Arta Global Futures Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts; Type 4 - Advising on securities; Type 9 - Asset management. This person has 20.6 years of SFC licence history. Total licence records on file: 13.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Arta Global Markets Limited 裕承環球巿場有限公司 |
Rep | Type 9 - Asset management | 2024-06-12 | present |
| Arta Global Markets Limited 裕承環球巿場有限公司 |
RO | Type 1 - Dealing in securities | 2022-12-14 | present |
| Arta Global Futures Limited 裕承環球期貨有限公司 |
RO | Type 2 - Dealing in futures contracts | 2022-12-14 | present |
| Arta Global Markets Limited 裕承環球巿場有限公司 |
RO | Type 4 - Advising on securities | 2022-12-14 | present |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
RO | Type 1 - Dealing in securities | 2016-11-04 | 2022-03-01 |
| BOCI Securities Limited 中銀國際證券有限公司 |
RO | Type 1 - Dealing in securities | 2016-11-04 | 2022-03-01 |
| BOCI Securities Limited 中銀國際證券有限公司 |
RO | Type 2 - Dealing in futures contracts | 2016-11-04 | 2022-03-01 |
| BOCI Securities Limited 中銀國際證券有限公司 |
RO | Type 4 - Advising on securities | 2016-11-04 | 2022-03-01 |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
Rep | Type 1 - Dealing in securities | 2016-09-08 | 2016-11-04 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 4 - Advising on securities | 2014-03-04 | 2016-11-04 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2005-10-13 | 2016-11-04 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2005-03-24 | 2016-11-04 |
| BOCI Commodities & Futures Limited 中銀國際期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2005-03-24 | 2011-01-27 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Ngai Ho 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.