Alex Jiu Lik Shum
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Alex Jiu Lik Shum (沈朝力), a licensed Responsible Officer with CE reference APJ351. Currently licensed at 1 firm(s): TPG Capital, Limited . Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities. This person has 18.4 years of SFC licence history. Total licence records on file: 8.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| TPG Capital, Limited 美國德太投資有限公司 |
RO | Type 1 - Dealing in securities | 2024-11-07 | present |
| TPG Capital, Limited 美國德太投資有限公司 |
RO | Type 4 - Advising on securities | 2024-11-07 | present |
| TPG Capital, Limited 美國德太投資有限公司 |
Rep | Type 1 - Dealing in securities | 2022-12-22 | 2024-11-07 |
| TPG Capital, Limited 美國德太投資有限公司 |
Rep | Type 4 - Advising on securities | 2022-12-22 | 2024-11-07 |
| NewQuest Capital Advisors (HK) Limited | Rep | Type 9 - Asset management | 2012-03-08 | 2022-12-21 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2007-08-06 | 2011-07-08 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2007-08-06 | 2011-07-08 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2007-08-06 | 2011-07-08 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Alex Jiu Lik Shum 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.