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SHUM Kai Fung

岑啟豐
CE APV084Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

SHUM Kai Fung (CE number APV084) is an individual licensed by the Hong Kong SFC. First licensed on 2007-11-27. 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 (2)

CapacityCompany / Institution
Responsible OfficerICBC International Futures Limited
工銀國際期貨有限公司
Responsible OfficerICBC International Securities Limited
工銀國際證券有限公司

Licence Record (17)

2019-12-06 – present Current
ICBC International Securities Limited RO
RA 1 RA 4
2019-12-06 – present Current
ICBC International Futures Limited RO
RA 2
2018-07-31 – 2019-08-10
Hao Tian Asset Management Limited Rep
RA 9
2018-07-31 – 2019-08-10
Hao Tian International Futures Limited RO
RA 2
2018-02-28 – 2018-07-31
Hao Tian International Futures Limited Rep
RA 2
2017-08-16 – 2019-08-10
Hao Tian International Securities Limited RO
RA 1
2017-03-02 – 2017-08-16
Hao Tian International Securities Limited Rep
RA 1
2015-04-15 – 2019-12-06
ICBC International Securities Limited Rep
RA 1 RA 4
2015-04-15 – 2019-12-06
ICBC International Futures Limited Rep
RA 2
2013-03-25 – 2015-03-20
Orient Securities (Hong Kong) Limited Rep
RA 1
2013-03-25 – 2015-03-20
Orient Futures (Hong Kong) Limited Rep
RA 2
2012-12-17 – 2013-03-05
Soochow Securities International Futures Limited Rep
RA 2
2012-11-08 – 2013-03-05
Soochow Securities International Brokerage Limited Rep
RA 1
2009-06-29 – 2012-10-30
CITIC Securities Brokerage (HK) Limited Rep
RA 1
2008-01-24 – 2009-06-24
BOCOM International Securities Limited Rep
RA 1
2008-01-24 – 2008-03-03
BOCOM International Holdings Company Limited Rep
RA 1
2007-11-27 – 2008-01-02
Get Nice Securities Limited Rep
RA 1

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/APV084