Ben Shum
沈斌
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ben Shum (沈斌), a licensed former licensee with CE reference AWJ362. Total licence records on file: 3.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Shang International Finance Limited 尚融國際金融有限公司 |
Rep | Type 1 — Dealing in securities | 2010-11-25 | 2012-04-02 |
| Shang International Finance Limited 尚融國際金融有限公司 |
Rep | Type 4 — Advising on securities | 2010-11-25 | 2012-04-02 |
| Shang International Finance Limited 尚融國際金融有限公司 |
Rep | Type 6 — Advising on corporate finance | 2010-11-25 | 2012-04-02 |