SHUM Ching Hei

岑政熹

CE AWT804Licensed IndividualResponsible OfficerSFO licence active

SHUM Ching Hei (CE number AWT804) is an individual licensed by the Hong Kong SFC. First licensed on 2011-02-10. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 6 (Corporate finance). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities

RA 4 Advising on Securities

RA 6 Advising on Corporate Finance

Roles & Accreditations (2)

Capacity	Company / Institution
Responsible Officer	Carlyon Capital Limited 格理昂資本有限公司
Representative	Carlyon Securities Limited 格理昂證券有限公司

Licence Record (12)

2024-11-20 – present Current

Carlyon Securities Limited Rep

RA 1

2024-08-06 – present Current

Carlyon Capital Limited RO

RA 6

2021-11-02 – 2022-06-30

Silver Nile Global Investments Limited RO

RA 6

2021-03-15 – 2022-06-30

HeungKong Capital Limited RO

RA 6

2019-12-04 – 2022-06-30

Silver Nile Global Investments Limited Rep

RA 1 RA 6

2019-12-04 – 2021-03-15

HeungKong Capital Limited Rep

RA 6

2017-04-21 – 2019-11-24

South China Capital Limited RO

RA 6

2016-07-12 – 2019-11-24

South China Securities Limited Rep

RA 1

2016-07-12 – 2019-11-24

South China Research Limited Rep

RA 4

2016-07-12 – 2017-04-21

South China Capital Limited Rep

RA 6

2012-06-22 – 2015-06-20

MIB Securities (Hong Kong) Limited Rep

RA 1 RA 6

2011-02-10 – 2011-11-26

Piper Jaffray Asia Limited Rep

RA 6

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/AWT804