Ching Hei Shum
岑政熹
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ching Hei Shum (岑政熹), a licensed Responsible Officer with CE reference AWT804. Currently licensed at 2 firm(s): Carlyon Securities Limited, Carlyon Capital Limited. Active regulated activities: Type 1 — Dealing in securities; Type 6 — Advising on corporate finance. Total licence records on file: 14.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Carlyon Securities Limited 格理昂證券有限公司 |
Rep | Type 1 — Dealing in securities | 2024-11-20 | present |
| Carlyon Capital Limited 格理昂資本有限公司 |
RO | Type 6 — Advising on corporate finance | 2024-08-06 | present |
| Silver Nile Global Investments Limited 銀豐環球投資有限公司 |
RO | Type 6 — Advising on corporate finance | 2021-11-02 | 2022-06-30 |
| Silver Nile Global Investments Limited 銀豐環球投資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2021-08-19 | 2021-11-02 |
| HeungKong Capital Limited 香江資本有限公司 |
RO | Type 6 — Advising on corporate finance | 2021-03-15 | 2022-06-30 |
| Silver Nile Global Investments Limited 銀豐環球投資有限公司 |
Rep | Type 1 — Dealing in securities | 2019-12-04 | 2022-06-30 |
| HeungKong Capital Limited 香江資本有限公司 |
Rep | Type 6 — Advising on corporate finance | 2019-12-04 | 2021-03-15 |
| South China Capital Limited 南華融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2017-04-21 | 2019-11-24 |
| South China Securities Limited 南華證券投資有限公司 |
Rep | Type 1 — Dealing in securities | 2016-07-12 | 2019-11-24 |
| South China Research Limited 南華資料研究有限公司 |
Rep | Type 4 — Advising on securities | 2016-07-12 | 2019-11-24 |
| South China Capital Limited 南華融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2016-07-12 | 2017-04-21 |
| MIB Securities (Hong Kong) Limited 馬銀證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2014-10-31 | 2015-06-20 |
| MIB Securities (Hong Kong) Limited 馬銀證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2012-06-22 | 2015-06-20 |
| Piper Jaffray Asia Limited 派杰亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2011-02-10 | 2011-11-26 |