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SHUM Ngai Ho

沈毅豪
CE ALV094Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

SHUM Ngai Ho (CE number ALV094) is an individual licensed by the Hong Kong SFC. First licensed on 2005-03-24. 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). Currently a responsible officer at 2 firms.

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 (3)

CapacityCompany / Institution
Responsible OfficerArta Global Futures Limited
裕承環球期貨有限公司
Responsible OfficerArta Global Markets Limited
裕承環球巿場有限公司
RepresentativeArta Global Markets Limited
裕承環球巿場有限公司

Licence Record (8)

2024-06-12 – present Current
Arta Global Markets Limited Rep
RA 9
2022-12-14 – present Current
Arta Global Markets Limited RO
RA 1 RA 4
2022-12-14 – present Current
Arta Global Futures Limited RO
RA 2
2016-11-04 – 2022-03-01
BOCI Asia Limited RO
RA 1
2016-11-04 – 2022-03-01
BOCI Securities Limited RO
RA 1 RA 2 RA 4
2016-09-08 – 2016-11-04
BOCI Asia Limited Rep
RA 1
2005-03-24 – 2016-11-04
BOCI Securities Limited Rep
RA 1 RA 2 RA 4
2005-03-24 – 2011-01-27
BOCI Commodities & 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/ALV094