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SHUM Kwok Wai, Emily

岑幗慧
CE ABT712Licensed IndividualSFO licence active
Official SFC record

SHUM Kwok Wai, Emily (CE number ABT712) is an individual licensed by the Hong Kong SFC. First licensed on 2003-04-01. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 6 (Corporate finance), Type 9 (Asset management).

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
RepresentativeiFAST Global Markets (HK) Limited
奕豐環球市場(香港)有限公司

Licence Record (8)

2017-09-06 – present Current
iFAST Global Markets (HK) Limited Rep
RA 1 RA 4
2017-09-06 – 2021-04-30
iFAST Securities (HK) Limited Rep
RA 1
2017-09-06 – 2020-02-12
iFAST Financial (HK) Limited Rep
RA 1 RA 4
2009-07-23 – 2017-08-09
Gayang Securities Limited RO
RA 1 RA 4
2008-12-23 – 2009-07-23
Gayang Securities Limited Rep
RA 4
2005-12-30 – 2006-06-23
HSBC Investment Funds (Hong Kong) Limited Rep
RA 1
2005-12-30 – 2006-06-23
HSBC Global Asset Management (Hong Kong) Limited Rep
RA 4 RA 9
2003-04-01 – 2005-02-21
BNP Paribas Dealing Services Asia Limited Rep
RA 1 RA 4 RA 6 RA 9

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/ABT712