Shum, Ngai Ho (SFC:ALV094) 沈毅豪
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 | Arta Global Futures Limited | RO | Dealing in futures contracts | 2022-12-14 | |
| 2 | Arta Global Markets Limited | RO | Advising on securities | 2022-12-14 | RO | Dealing in securities | 2022-12-14 |
| 3 | BOCI ASIA LIMITED | Rep | Dealing in securities | 2016-09-08 | 2016-11-04 | RO | Dealing in securities | 2016-11-04 | 2022-03-01 |
| 4 | BOCI COMMODITIES & FUTURES LIMITED | Rep | Dealing in futures contracts | 2005-03-24 | 2011-01-27 |
| 5 | BOCI SECURITIES LIMITED | Rep | Dealing in securities | 2005-03-24 | 2016-11-04 | Rep | Dealing in futures contracts | 2005-10-13 | 2016-11-04 | Rep | Advising on securities | 2014-03-04 | 2016-11-04 | RO | Advising on securities | 2016-11-04 | 2022-03-01 | RO | Dealing in futures contracts | 2016-11-04 | 2022-03-01 | RO | Dealing in securities | 2016-11-04 | 2022-03-01 |
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