Ka Yi Shum
岑嘉兒
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ka Yi Shum (岑嘉兒), a licensed former licensee with CE reference BBG283. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Heavenly Wealth Management Limited 天道理財有限公司 |
Rep | Type 1 — Dealing in securities | 2017-08-01 | 2021-06-30 |
| Heavenly Wealth Management Limited 天道理財有限公司 |
Rep | Type 4 — Advising on securities | 2017-08-01 | 2021-06-30 |
| Heavenly Wealth Management Limited 天道理財有限公司 |
Rep | Type 9 — Asset management | 2017-08-01 | 2021-06-30 |
| Silverhorn Investment Advisors Limited 瑞峰投資顧問有限公司 |
Rep | Type 1 — Dealing in securities | 2014-09-08 | 2017-06-30 |
| Silverhorn Investment Advisors Limited 瑞峰投資顧問有限公司 |
Rep | Type 4 — Advising on securities | 2014-09-08 | 2017-06-30 |
| Silverhorn Investment Advisors Limited 瑞峰投資顧問有限公司 |
Rep | Type 9 — Asset management | 2014-09-08 | 2017-06-30 |
| 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 | 2013-05-08 | 2014-08-22 |
| 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 | 2013-05-08 | 2014-08-22 |