Kit Shum
沈杰
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kit Shum (沈杰), a licensed Representative with CE reference AJD416. Currently licensed at 1 firm(s): CIF Asset Management Limited. Active regulated activities: Type 9 — Asset management. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CIF Asset Management Limited 混沌天成國際資產管理有限公司 |
Rep | Type 9 — Asset management | 2017-10-09 | present |
| Cathay Securities (Hong Kong) Limited 國泰證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2016-12-20 | 2017-08-31 |
| Cathay Securities (Hong Kong) Limited 國泰證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2016-12-20 | 2017-08-31 |
| Invesco Hong Kong Limited 景順投資管理有限公司(以景順投資管理名義經營業務) |
Rep | Type 9 — Asset management | 2011-08-03 | 2012-12-07 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2007-12-17 | 2011-07-09 |
| CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2007-12-17 | 2011-07-09 |
| CSC Futures (HK) Limited 群益期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2006-07-28 | 2007-12-13 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2006-06-28 | 2007-12-13 |
| Sinolink Securities (Hong Kong) Company Limited 國金證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2005-08-31 | 2006-06-23 |
| Prime Capital Management Company Limited 湧金資產管理有限公司 |
Rep | Type 9 — Asset management | 2004-12-13 | 2005-08-31 |
| Sinolink Securities (Hong Kong) Company Limited 國金證券(香港)有限公司 |
Rep | Type 9 — Asset management | 2004-04-06 | 2005-11-21 |
| Sinolink Securities (Hong Kong) Company Limited 國金證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2004-02-27 | 2006-06-23 |
| Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2003-08-20 | 2003-11-06 |