Hong Nin Shum
岑康年
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Hong Nin Shum (岑康年), a licensed former licensee with CE reference APG475. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 4 - Advising on securities | 2015-03-23 | 2018-12-19 |
| HSBC Broking Forex (Asia) Limited 滙豐金融外匯(亞洲)有限公司 |
Rep | Type 3 - Leveraged foreign exchange trading | 2014-05-08 | 2018-12-19 |
| HSBC Broking Securities (Asia) Limited 滙豐金融證券(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2014-03-25 | 2018-12-19 |
| HSBC Broking Futures (Asia) Limited 滙豐金融期貨(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2014-03-25 | 2018-12-19 |
| Phillip Commodities (HK) Limited 輝立商品(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2007-11-30 | 2014-03-15 |
| Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2007-07-17 | 2014-03-15 |