Johnny Yik Ming Sum
岑翊銘
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Johnny Yik Ming Sum (岑翊銘), a licensed former licensee with CE reference AED718. Total licence records on file: 29.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Protocol Asset Management (HK) Limited 承諾資產管理(香港)有限公司 |
RO | Type 9 — Asset management | 2023-04-20 | 2023-12-15 |
| Protocol Asset Management (HK) Limited 承諾資產管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2023-03-16 | 2023-04-20 |
| Atlantic Asset Management Limited 大西洋資產管理有限公司 |
RO | Type 4 — Advising on securities | 2019-10-14 | 2022-09-28 |
| Atlantic Asset Management Limited 大西洋資產管理有限公司 |
RO | Type 9 — Asset management | 2019-10-14 | 2022-09-28 |
| Atlantic Asset Management Limited 大西洋資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2019-07-16 | 2019-10-14 |
| Atlantic Asset Management Limited 大西洋資產管理有限公司 |
Rep | Type 9 — Asset management | 2019-07-16 | 2019-10-14 |
| Awaken Thunder Capital Limited 春雷資本有限公司 |
RO | Type 4 — Advising on securities | 2019-03-11 | 2019-06-25 |
| Awaken Thunder Capital Limited 春雷資本有限公司 |
RO | Type 9 — Asset management | 2019-03-11 | 2019-06-25 |
| Gold Dragon Worldwide Asset Management Limited 金龍世興資產管理有限公司 |
RO | Type 4 — Advising on securities | 2017-11-30 | 2018-02-09 |
| Gold Dragon Worldwide Asset Management Limited 金龍世興資產管理有限公司 |
RO | Type 9 — Asset management | 2017-11-30 | 2018-02-09 |
| Azure Lion International Securities Company Limited 青獅國際證券有限公司 |
RO | Type 4 — Advising on securities | 2017-01-17 | 2017-03-12 |
| Azure Lion International Securities Company Limited 青獅國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2016-11-14 | 2017-03-12 |
| Zhonghao International Futures Co., Limited 中豪國際期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2016-11-14 | 2017-03-12 |
| Azure Lion International Securities Company Limited 青獅國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2016-11-14 | 2017-01-17 |
| Zhonghao International Investment Consulting Co., Limited 中豪國際投資咨詢有限公司 |
Rep | Type 5 — Advising on futures contracts | 2016-11-14 | 2017-03-12 |
| Azure Lion International Asset Management Company Limited 青獅國際資產管理有限公司 |
RO | Type 9 — Asset management | 2016-11-14 | 2017-03-12 |
| Kingdom Investment Managers Limited 國權投資管理有限公司 |
Rep | Type 9 — Asset management | 2013-11-13 | 2016-08-09 |
| JS Cresvale Capital Limited 日盛嘉富資本有限公司 |
Rep | Type 9 — Asset management | 2012-03-12 | 2013-05-16 |
| Galaxy Asset Management (H.K.) Limited 嘉理資產管理有限公司 |
Rep | Type 9 — Asset management | 2011-01-27 | 2011-09-15 |
| CSC Financial Services Limited 群益金融服務有限公司 |
RO | Type 1 — Dealing in securities | 2004-11-19 | 2006-07-14 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2004-11-19 | 2006-07-14 |
| CSC Futures (HK) Limited 群益期貨(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2004-11-19 | 2006-07-14 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2004-11-19 | 2006-07-14 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2004-09-10 | 2004-11-19 |
| CSC Futures (HK) Limited 群益期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2004-09-10 | 2004-11-19 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2004-09-10 | 2004-11-19 |
| SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司 |
RO | Type 1 — Dealing in securities | present | 2004-09-08 |
| SBI China Capital Securities Limited 軟庫中華金融證券有限公司 |
RO | Type 1 — Dealing in securities | present | 2004-09-08 |
| SBI China Capital Commodities Limited 軟庫中華金融期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | present | 2004-09-08 |