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SHUM So Ying

沈素瑩
CE BQR101Licensed IndividualSFO licence active
Official SFC record

SHUM So Ying (CE number BQR101) is an individual licensed by the Hong Kong SFC. First licensed on 2021-03-15. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 9 (Asset management).

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
RepresentativeZhongcai Asset Management Limited
中財資產管理有限公司
RepresentativeZhongcai Securities Limited
中財證券有限公司

Licence Record (3)

2023-09-25 – present Current
Zhongcai Asset Management Limited Rep
RA 1 RA 4 RA 9
2021-03-15 – present Current
Zhongcai Securities Limited Rep
RA 1
2021-12-29 – 2024-01-15
Zhongcai Securities Limited RO
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/BQR101