Richard Shum
岑傑誠
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Richard Shum (岑傑誠), a licensed former licensee with CE reference ADQ861. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| LGT Investment Management (Asia) Limited | Rep | Type 1 — Dealing in securities | 2006-01-13 | 2006-08-07 |
| LGT Investment Management (Asia) Limited | Rep | Type 4 — Advising on securities | 2006-01-13 | 2006-08-07 |
| LGT Investment Management (Asia) Limited | Rep | Type 9 — Asset management | 2006-01-13 | 2006-08-07 |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2004-12-09 | 2005-01-20 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 1 — Dealing in securities | 2004-12-09 | 2005-01-20 |
| Citigroup Global Markets Hong Kong Futures and Securities Limited | Rep | Type 2 — Dealing in futures contracts | 2004-12-09 | 2005-01-20 |
| Schroder Investment Management (Hong Kong) Limited | RO | Type 5 — Advising on futures contracts | 2003-07-28 | 2003-12-11 |
| Schroder Investment Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | present | 2003-12-11 |
| Schroder Investment Management (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | present | 2003-07-28 |
| Schroder Investment Management (Hong Kong) Limited | Rep | Type 6 — Advising on corporate finance | present | 2003-06-16 |
| Schroder Investment Management (Hong Kong) Limited | Rep | Type 9 — Asset management | present | 2003-12-11 |