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SHUM Kit

沈杰
CE AJD416Licensed IndividualSFO licence active
Official SFC record

SHUM Kit (CE number AJD416) is an individual licensed by the Hong Kong SFC. First licensed on 2003-08-20. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 9 (Asset management).

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
RepresentativeCIF Asset Management Limited
混沌天成國際資產管理有限公司

Licence Record (10)

2017-10-09 – present Current
CIF Asset Management Limited Rep
RA 9
2016-12-20 – 2017-08-31
Cathay Securities (Hong Kong) Limited Rep
RA 1 RA 4
2011-08-03 – 2012-12-07
Invesco Hong Kong Limited (trading as Invesco Asia Pacific) Rep
RA 9
2007-12-17 – 2011-07-09
CITIC Securities Brokerage (HK) Limited Rep
RA 1
2007-12-17 – 2011-07-09
CITIC Securities Futures (HK) Limited Rep
RA 2
2006-07-28 – 2007-12-13
CSC Futures (HK) Limited Rep
RA 2
2006-06-28 – 2007-12-13
CSC Securities (HK) Limited Rep
RA 1
2004-12-13 – 2005-08-31
Prime Capital Management Company Limited Rep
RA 9
2004-02-27 – 2006-06-23
Sinolink Securities (Hong Kong) Company Limited Rep
RA 1 RA 4 RA 9
2003-08-20 – 2003-11-06
Southwest Securities (HK) Futures Limited Rep
RA 2

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/AJD416