Samir Shumshere Thapa
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Samir Shumshere Thapa, a licensed Responsible Officer with CE reference BQU385. Currently licensed at 1 firm(s): CII Advisory Limited . Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 5.0 years of SFC licence history. Total licence records on file: 3.
Information
- LinkedIn:
- Email:
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CII Advisory Limited | RO | Type 1 - Dealing in securities | 2021-07-05 | present |
| CII Advisory Limited | RO | Type 4 - Advising on securities | 2021-07-05 | present |
| CII Advisory Limited | RO | Type 9 - Asset management | 2021-07-05 | present |
Worked alongside
The 3 closest colleagues, strongest tie first — individuals licensed at the same firm as Samir Shumshere Thapa 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.
| Name | Shared firm | Overlap |
|---|---|---|
| Wenhan Liu | CII Advisory Limited | 2021–present |
| Zhixin Xu | CII Advisory Limited | 2021–present |
| Weixin Zhan | CII Advisory Limited | 2021–2022 |