Unofficial — this is NOT the SFC. Independent site, not affiliated with the Securities and Futures Commission of Hong Kong. All information is compiled from SFC, HKMA and other public regulatory records and is for reference only — verify on the official SFC website before relying on it.
SFC Radar
中文 ← Back to search

SHUM Ngan, Sammy

沈顏
CE AKR115Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

SHUM Ngan, Sammy (CE number AKR115) is an individual licensed by the Hong Kong SFC. First licensed on 2004-05-25. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 3 (Leveraged FX), Type 4 (Advising on securities), Type 9 (Asset management). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (5)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 3 Leveraged Foreign Exchange Trading
RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerI Win Asset Management Limited
一盈資產管理有限公司
Responsible OfficerI Win Securities Limited
一盈證券有限公司

Licence Record (7)

2024-06-21 – present Current
I Win Asset Management Limited RO
RA 4 RA 9
2021-11-17 – present Current
I Win Securities Limited RO
RA 1
2021-09-09 – 2021-11-17
I Win Securities Limited Rep
RA 1
2021-09-09 – 2024-06-21
I Win Asset Management Limited Rep
RA 4 RA 9
2017-07-26 – 2019-01-25
iBest Investment Services Limited Rep
RA 3
2004-05-25 – 2021-03-18
Haitong International Securities Company Limited Rep
RA 1 RA 3 RA 4
2004-05-25 – 2021-03-18
Haitong International 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/AKR115