Sammy Ngan Shum
沈顏
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Sammy Ngan Shum (沈顏), a licensed Responsible Officer with CE reference AKR115. Currently licensed at 2 firm(s): I Win Asset Management Limited, I Win Securities Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| I Win Asset Management Limited 一盈資產管理有限公司 |
RO | Type 4 — Advising on securities | 2024-06-21 | present |
| I Win Securities Limited 一盈證券有限公司 |
RO | Type 1 — Dealing in securities | 2021-11-17 | present |
| I Win Asset Management Limited 一盈資產管理有限公司 |
RO | Type 9 — Asset management | 2024-06-21 | 2025-02-12 |
| I Win Asset Management Limited 一盈資產管理有限公司 |
Rep | Type 9 — Asset management | 2021-10-06 | 2024-06-21 |
| I Win Securities Limited 一盈證券有限公司 |
Rep | Type 1 — Dealing in securities | 2021-09-09 | 2021-11-17 |
| I Win Asset Management Limited 一盈資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2021-09-09 | 2024-06-21 |
| iBest Investment Services Limited | Rep | Type 3 — Leveraged foreign exchange trading | 2017-07-26 | 2019-01-25 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 4 — Advising on securities | 2010-11-17 | 2021-03-18 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 3 — Leveraged foreign exchange trading | 2004-08-26 | 2019-10-16 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2004-05-25 | 2021-03-18 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2004-05-25 | 2021-03-18 |