Shum, Yuk Yee 岑玉如

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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 GOLDMAN SACHS (ASIA) L.L.C. Rep Advising on corporate finance 2004-10-13
2 GOLDMAN SACHS (ASIA) L.L.C. Rep Advising on securities 2004-10-13
UBS Asset Management (Hong Kong) Limited Rep 2005-10-19 2006-04-13
CITIC Securities Brokerage (HK) Limited Rep 2021-06-23 2021-08-16
3 GOLDMAN SACHS (ASIA) L.L.C. Rep Asset management 2004-10-13
UBS Asset Management (Hong Kong) Limited Rep 2005-10-19 2006-04-13
4 Morgan Stanley Hong Kong Futures Limited Rep Dealing in futures contracts 2010-03-10 2010-12-06
Morgan Stanley Hong Kong Securities Limited Rep 2010-12-06 2012-05-14
HAITONG INTERNATIONAL FUTURES LIMITED Rep 2020-09-08 2021-04-22
CITIC Securities Futures (HK) Limited Rep 2021-05-03 2021-08-16
5 GOLDMAN SACHS (ASIA) L.L.C. Rep Dealing in securities 2005-09-29
Morgan Stanley Asia Limited Rep 2010-03-10 2012-05-14
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED Rep 2020-09-08 2021-04-22
CITIC Securities Brokerage (HK) Limited Rep 2021-05-03 2021-08-16

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