SHIM Chi Wing

單志榮

CE AUQ930Licensed IndividualResponsible OfficerSFO licence active

SHIM Chi Wing (CE number AUQ930) is an individual licensed by the Hong Kong SFC. First licensed on 2010-02-03. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 5 (Advising on futures), 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 4 Advising on Securities

RA 5 Advising on Futures Contracts

RA 9 Asset Management

Roles & Accreditations (3)

Capacity	Company / Institution
Responsible Officer	First Shanghai Futures Limited 第一上海期貨有限公司
Responsible Officer	First Shanghai Securities Limited 第一上海證券有限公司
Representative	First Shanghai Futures Limited 第一上海期貨有限公司

Licence Record (11)

2023-01-18 – present Current

First Shanghai Securities Limited RO

RA 1

2023-01-18 – present Current

First Shanghai Futures Limited RO

RA 2

2022-12-01 – present Current

First Shanghai Futures Limited Rep

RA 2 RA 5

2022-12-01 – 2023-01-18

First Shanghai Securities Limited Rep

RA 1

2022-03-21 – 2022-10-16

Zero2IPO Asset Management Limited RO

RA 4 RA 9

2021-11-23 – 2022-10-16

Zero2IPO Securities Limited RO

RA 1 RA 2

2018-01-04 – 2021-05-31

Bright Smart Asset Management Limited Rep

RA 9

2017-08-18 – 2021-05-31

Bright Smart Securities International (H.K.) Limited RO

RA 1

2017-08-18 – 2021-05-31

Bright Smart Futures & Commodities Company Limited RO

RA 2

2010-02-03 – 2017-08-18

Bright Smart Securities International (H.K.) Limited Rep

RA 1

2010-02-03 – 2017-08-18

Bright Smart Futures & Commodities Company 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/AUQ930