So Ying Shum
沈素瑩
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for So Ying Shum (沈素瑩), CE reference BQR101. Currently licensed at 2 firm(s): Zhongcai Securities Limited, Zhongcai Asset Management Limited. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Zhongcai Securities Limited 中財證券有限公司 |
Rep | Type 1 — Dealing in securities | 2024-01-15 | present |
| Zhongcai Asset Management Limited 中財資產管理有限公司 |
Rep | Type 1 — Dealing in securities | 2023-09-25 | present |
| Zhongcai Asset Management Limited 中財資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2023-09-25 | present |
| Zhongcai Asset Management Limited 中財資產管理有限公司 |
Rep | Type 9 — Asset management | 2023-09-25 | present |
| Zhongcai Securities Limited 中財證券有限公司 |
RO | Type 1 — Dealing in securities | 2021-12-29 | 2024-01-15 |
| Zhongcai Securities Limited 中財證券有限公司 |
Rep | Type 1 — Dealing in securities | 2021-03-15 | 2021-12-29 |