Kam Ming Sun
辛鑑明
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kam Ming Sun (辛鑑明), a licensed Responsible Officer with CE reference AUT130. Currently licensed at 2 firm(s): BOCI Asia Limited, BOCI Securities Limited. Active regulated activities: Type 1 — Dealing in securities; Type 6 — Advising on corporate finance. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| BOCI Asia Limited 中銀國際亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2020-10-06 | present |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2020-10-06 | present |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
RO | Type 6 — Advising on corporate finance | 2018-08-16 | present |
| BOCI Asia Limited 中銀國際亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2018-06-05 | 2018-08-16 |
| GF Capital (Hong Kong) Limited 廣發融資(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2017-06-21 | 2018-05-02 |
| GF Capital (Hong Kong) Limited 廣發融資(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2015-12-10 | 2017-06-21 |
| Jefferies Hong Kong Limited 富瑞金融集團香港有限公司 |
Rep | Type 4 — Advising on securities | 2014-03-27 | 2015-07-17 |
| Jefferies Hong Kong Limited 富瑞金融集團香港有限公司 |
Rep | Type 6 — Advising on corporate finance | 2014-03-27 | 2015-07-17 |
| HSBC Corporate Finance (Hong Kong) Limited | Rep | Type 6 — Advising on corporate finance | 2013-06-25 | 2013-10-01 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2010-02-22 | 2013-01-15 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2010-02-22 | 2013-01-15 |