Shook Fung Sam
沈淑芳
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shook Fung Sam (沈淑芳), a licensed Responsible Officer with CE reference ADM712. Currently licensed at 1 firm(s): CGS International Securities Hong Kong Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities. Total licence records on file: 23.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
RO | Type 1 — Dealing in securities | 2020-04-02 | present |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
Rep | Type 4 — Advising on securities | 2020-02-10 | present |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
Rep | Type 1 — Dealing in securities | 2017-03-17 | 2020-04-02 |
| Manulife Investment Management (Hong Kong) Limited 宏利投資管理(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2016-10-17 | 2017-03-14 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2013-07-24 | 2016-01-08 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 5 — Advising on futures contracts | 2013-07-24 | 2016-01-08 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 7 — Providing automated trading services | 2013-07-24 | 2016-01-08 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 2 — Dealing in futures contracts | 2010-12-06 | 2016-01-08 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | 2006-09-14 | 2013-07-24 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 — Dealing in futures contracts | 2006-05-12 | 2010-12-06 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 7 — Providing automated trading services | 2006-05-12 | 2010-12-06 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 1 — Dealing in securities | 2006-05-02 | 2016-01-08 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2006-04-11 | 2016-01-08 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 1 — Dealing in securities | 2006-03-07 | 2006-03-16 |
| Virtu ITG Hong Kong Limited |
Rep | Type 7 — Providing automated trading services | 2003-05-13 | 2005-09-12 |
| Virtu ITG Hong Kong Limited |
Rep | Type 1 — Dealing in securities | present | 2005-09-12 |
| ITG Securities (Asia) Limited |
Rep | Type 1 — Dealing in securities | present | 2003-04-25 |
| Virtu ITG Hong Kong Limited |
Rep | Type 4 — Advising on securities | present | 2003-05-13 |
| ITG Securities (Asia) Limited |
Rep | Type 4 — Advising on securities | present | 2003-04-25 |
| Virtu ITG Hong Kong Limited |
Rep | Type 6 — Advising on corporate finance | present | 2003-05-13 |
| ITG Securities (Asia) Limited |
Rep | Type 6 — Advising on corporate finance | present | 2003-04-25 |
| Virtu ITG Hong Kong Limited |
Rep | Type 9 — Asset management | present | 2003-05-13 |
| ITG Securities (Asia) Limited |
Rep | Type 9 — Asset management | present | 2003-04-25 |