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. Total licence records on file: 3.
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 |