Bum Soo Kim
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Bum Soo Kim, a licensed Representative with CE reference AHZ633. Currently licensed at 1 firm(s): Barclays Capital Asia Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts. Total licence records on file: 17.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2017-08-07 | present |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2017-08-07 | present |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2014-06-11 | 2017-03-03 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2014-06-11 | 2017-03-03 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2013-02-27 | 2014-03-29 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | 2013-02-27 | 2014-03-29 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2006-04-18 | 2010-08-16 |
| Morgan Stanley Hong Kong Securities Limited | Rep | Type 1 — Dealing in securities | 2006-04-18 | 2010-08-16 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 2 — Dealing in futures contracts | 2006-04-18 | 2010-08-16 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | 2006-04-18 | 2010-08-16 |
| Morgan Stanley Hong Kong Futures Limited | Rep | Type 7 — Providing automated trading services | 2006-04-18 | 2010-08-16 |
| BNP Paribas Securities (Asia) Limited 法國巴黎證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2004-09-14 | 2006-04-15 |
| Paribas Asia Equity Limited 巴黎巴亞洲証券有限公司 |
Rep | Type 1 — Dealing in securities | 2004-09-14 | 2006-04-15 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | present | 2003-09-11 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 4 — Advising on securities | present | 2003-09-11 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-09-11 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 9 — Asset management | present | 2003-09-11 |