Sham, Ching Fai 岑正輝
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | CES Commodities (HK) Limited | Rep | Dealing in futures contracts | 2005-11-24 | 2006-11-01 |
| 2 | Everbright Securities Investment Services (HK) Limited | Rep | Dealing in securities | 2005-11-24 | 2006-11-01 |
| 3 | RHB FUTURES HONG KONG LIMITED | Rep | Dealing in futures contracts | 2007-02-07 | 2009-02-02 |
| 4 | RHB SECURITIES HONG KONG LIMITED | Rep | Dealing in securities | 2007-02-07 | 2009-02-02 |
| 5 | SHENWAN HONGYUAN FUTURES (H.K.) LIMITED | Rep | Advising on futures contracts | 2003-07-28 | Rep | Asset management | 2003-07-28 | Rep | Dealing in futures contracts | 2003-08-20 | RO | Dealing in futures contracts | 2003-08-20 | 2005-07-01 |
| 6 | SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED | Rep | Advising on corporate finance | 2003-07-28 | Rep | Advising on securities | 2003-07-28 | Rep | Asset management | 2003-07-28 | Rep | Dealing in securities | 2003-08-20 | Rep | Automated trading services | 2003-09-11 | RO | Dealing in securities | 2003-08-20 | 2005-07-01 |
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