Patrick Wai Bill Shum
岑維標
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Patrick Wai Bill Shum (岑維標), a licensed Responsible Officer with CE reference AFB711. Currently licensed at 1 firm(s): China Merchants Securities (HK) Co., Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 24.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
RO | Type 9 — Asset management | 2013-11-06 | present |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2011-08-31 | present |
| China Merchants Securities (HK) Co., Limited 招商證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2010-11-22 | present |
| CMS Capital (HK) Co., Limited 招商資本(香港)有限公司 |
RO | Type 9 — Asset management | 2012-04-12 | 2017-11-21 |
| CMS Capital (HK) Co., Limited 招商資本(香港)有限公司 |
RO | Type 4 — Advising on securities | 2012-02-14 | 2017-11-21 |
| CMS Asset Management (HK) Co., Limited 招商證券資產管理(香港)有限公司 |
RO | Type 9 — Asset management | 2009-11-30 | 2010-09-30 |
| CMS Asset Management (HK) Co., Limited 招商證券資產管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2009-09-18 | 2009-11-30 |
| Morgan Stanley Hong Kong Futures Limited | RO | Type 2 — Dealing in futures contracts | 2006-07-17 | 2006-09-04 |
| Morgan Stanley Hong Kong Futures Limited | RO | Type 7 — Providing automated trading services | 2006-07-17 | 2006-09-04 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 1 — Dealing in securities | 2005-11-01 | 2006-09-04 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2005-07-21 | 2006-09-04 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 — Dealing in futures contracts | 2005-07-21 | 2006-07-17 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | 2005-07-21 | 2006-09-04 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 7 — Providing automated trading services | 2005-07-21 | 2006-07-17 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2004-08-23 | 2005-07-19 |
| Paribas Asia Equity Limited 巴黎巴亞洲証券有限公司 |
RO | Type 1 — Dealing in securities | present | 2005-07-19 |
| B.N.P. Securities (Hong Kong) Limited 法國國家巴黎証券(香港)有限公司 |
RO | Type 1 — Dealing in securities | present | 2003-06-03 |
| BNP Paribas Futures (Hong Kong) Limited 法國巴黎期貨(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | present | 2005-07-19 |
| Paribas Asia Equity Limited 巴黎巴亞洲証券有限公司 |
RO | Type 4 — Advising on securities | present | 2004-08-03 |
| B.N.P. Securities (Hong Kong) Limited 法國國家巴黎証券(香港)有限公司 |
RO | Type 4 — Advising on securities | present | 2003-06-03 |
| BNP Paribas Futures (Hong Kong) Limited 法國巴黎期貨(香港)有限公司 |
RO | Type 5 — Advising on futures contracts | present | 2004-11-29 |
| BNP Paribas Futures (Hong Kong) Limited 法國巴黎期貨(香港)有限公司 |
RO | Type 9 — Asset management | present | 2004-11-29 |
| Paribas Asia Equity Limited 巴黎巴亞洲証券有限公司 |
RO | Type 9 — Asset management | present | 2004-08-03 |
| B.N.P. Securities (Hong Kong) Limited 法國國家巴黎証券(香港)有限公司 |
RO | Type 9 — Asset management | present | 2003-06-03 |