Yu Kwan Shum
沈俞君
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yu Kwan Shum (沈俞君), a licensed former licensee with CE reference AQU244. This person has 3.0 years of SFC licence history. Total licence records on file: 4.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2009-02-16 | 2011-07-09 |
| CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2009-02-16 | 2011-07-09 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2008-04-08 | 2008-11-12 |
| CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2008-04-08 | 2008-11-12 |