Wilfred Wai Kei Sum
岑偉基
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wilfred Wai Kei Sum (岑偉基), a licensed Responsible Officer with CE reference ABW953. Currently licensed at 1 firm(s): Maxa Capital Limited. Active regulated activities: Type 1 — Dealing in securities; Type 6 — Advising on corporate finance. Total licence records on file: 21.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Maxa Capital Limited 邁時資本有限公司 |
RO | Type 1 — Dealing in securities | 2025-05-20 | present |
| Maxa Capital Limited 邁時資本有限公司 |
RO | Type 6 — Advising on corporate finance | 2025-05-20 | present |
| Maxa Capital Limited 邁時資本有限公司 |
Rep | Type 1 — Dealing in securities | 2025-03-25 | 2025-05-20 |
| Maxa Capital Limited 邁時資本有限公司 |
Rep | Type 6 — Advising on corporate finance | 2025-03-25 | 2025-05-20 |
| BOCOM International (Asia) Limited 交銀國際(亞洲)有限公司 |
RO | Type 1 — Dealing in securities | 2017-08-10 | 2024-08-27 |
| BOCOM International Securities Limited 交銀國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2017-08-10 | 2024-08-27 |
| BOCOM International (Asia) Limited 交銀國際(亞洲)有限公司 |
RO | Type 6 — Advising on corporate finance | 2017-08-10 | 2024-08-27 |
| BOCOM International (Asia) Limited 交銀國際(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2017-04-13 | 2017-08-10 |
| BOCOM International Securities Limited 交銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2017-04-13 | 2017-08-10 |
| BOCOM International Securities Limited 交銀國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2017-04-13 | 2024-08-27 |
| BOCOM International (Asia) Limited 交銀國際(亞洲)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2017-04-13 | 2017-08-10 |
| CEB International Capital Corporation Limited 光銀國際資本有限公司 |
Rep | Type 4 — Advising on securities | 2016-11-23 | 2016-12-28 |
| CEB International Capital Corporation Limited 光銀國際資本有限公司 |
RO | Type 1 — Dealing in securities | 2016-11-23 | 2016-12-28 |
| CEB International Capital Corporation Limited 光銀國際資本有限公司 |
RO | Type 6 — Advising on corporate finance | 2016-11-23 | 2016-12-28 |
| BOCOM International Securities Limited 交銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2015-08-11 | 2016-09-06 |
| BOCOM International (Asia) Limited 交銀國際(亞洲)有限公司 |
RO | Type 1 — Dealing in securities | 2008-09-12 | 2016-09-06 |
| BOCOM International (Asia) Limited 交銀國際(亞洲)有限公司 |
RO | Type 6 — Advising on corporate finance | 2008-09-12 | 2016-09-06 |
| Haitong International Capital (HK) Limited 海通國際融資(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2008-07-24 | 2008-09-08 |
| KGI Capital (Hong Kong) Limited 凱基金融(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2005-08-18 | 2008-04-21 |
| KGI Wealth Management Limited 凱基財富管理有限公司 |
RO | Type 6 — Advising on corporate finance | 2004-05-19 | 2008-04-21 |
| KGI Wealth Management Limited 凱基財富管理有限公司 |
Rep | Type 6 — Advising on corporate finance | 2003-09-04 | 2004-05-19 |