Mary Sophia Sumners
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Mary Sophia Sumners, a licensed former licensee with CE reference AYQ118. This person has 2.2 years of SFC licence history. Total licence records on file: 4.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| RBC Global Asset Management (Asia) Limited 加皇環球資產管理(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2013-07-04 | 2014-02-28 |
| RBC Global Asset Management (Asia) Limited 加皇環球資產管理(亞洲)有限公司 |
Rep | Type 4 - Advising on securities | 2013-07-04 | 2014-02-28 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 1 - Dealing in securities | 2011-12-08 | 2014-02-28 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 4 - Advising on securities | 2011-12-08 | 2014-02-28 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Mary Sophia Sumners 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.