Wah Nin Shum
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wah Nin Shum (岑華年), a licensed Representative with CE reference AOL348. Currently licensed at 1 firm(s): Topaz Financial Group Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts; Type 4 - Advising on securities. This person has 19.7 years of SFC licence history. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Topaz Financial Group Limited 瑭明金融集團有限公司 |
Rep | Type 1 - Dealing in securities | 2024-02-26 | present |
| Topaz Financial Group Limited 瑭明金融集團有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2024-02-26 | present |
| Topaz Financial Group Limited 瑭明金融集團有限公司 |
Rep | Type 4 - Advising on securities | 2024-02-26 | present |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 4 - Advising on securities | 2021-04-29 | 2024-01-31 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2014-01-06 | 2024-01-31 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2014-01-06 | 2024-01-31 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 3 - Leveraged foreign exchange trading | 2014-01-06 | 2014-11-26 |
| HSBC Broking Forex (Asia) Limited 滙豐金融外匯(亞洲)有限公司 |
Rep | Type 3 - Leveraged foreign exchange trading | 2007-05-31 | 2013-12-06 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2007-01-22 | 2013-12-06 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2007-01-22 | 2013-12-06 |
| HSBC Broking Futures (Hong Kong) Limited 滙豐金融期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2007-01-22 | 2013-01-22 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Wah Nin 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.