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 Shuk Yee

沈淑怡
CE BEJ593Licensed IndividualSFO licence active
Official SFC record

SHUM Shuk Yee (CE number BEJ593) is an individual licensed by the Hong Kong SFC. First licensed on 2014-11-24. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 5 (Advising on futures), Type 9 (Asset management).

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)

CapacityCompany / Institution
RepresentativeCrosby Securities Limited
高誠證券有限公司
RepresentativeEmperor Futures Limited
英皇期貨有限公司
RepresentativeEmperor Securities Limited
英皇證券有限公司

Licence Record (7)

2026-03-04 – present Current
Emperor Securities Limited Rep
RA 1 RA 4
2026-03-04 – present Current
Emperor Futures Limited Rep
RA 2 RA 5
2022-07-06 – present Current
Crosby Securities Limited Rep
RA 1 RA 4
2019-06-24 – 2022-06-24
Guoyuan Securities Brokerage (Hong Kong) Limited Rep
RA 1 RA 4
2018-10-19 – 2019-06-08
Zhongtai International Securities Limited Rep
RA 1 RA 4
2016-11-21 – 2018-09-01
Okasan International (Asia) Limited Rep
RA 1 RA 4
2014-11-24 – 2016-11-04
Greenfield Asset Management Limited Rep
RA 4 RA 9

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/BEJ593