Au, Yiu Fai 區耀輝
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 | BaoQiao Partners Capital Limited | Rep | Advising on corporate finance | 2010-12-02 | 2011-02-15 | Rep | Dealing in securities | 2010-12-02 | 2011-02-15 |
| 2 | Bluemount Asset Management Limited | RO | Asset management | 2021-08-16 | 2022-05-08 |
| 3 | Bluemount Securities Limited | RO | Advising on securities | 2021-08-16 | 2022-05-08 | RO | Dealing in securities | 2021-08-16 | 2022-05-08 |
| 4 | Canfield Securities Company Limited | RO | Advising on securities | 2018-11-22 | 2020-05-31 | RO | Asset management | 2018-11-22 | 2020-05-31 |
| 5 | CES Commodities (HK) Limited | Rep | Dealing in futures contracts | 2008-05-13 | 2010-09-04 |
| 6 | CITIC Securities Asset Management (HK) Limited | Rep | Advising on securities | 2014-07-09 | 2016-03-04 | Rep | Asset management | 2014-07-09 | 2016-03-04 | Rep | Dealing in securities | 2015-02-10 | 2016-03-04 |
| 7 | CITIC Securities Brokerage (HK) Limited | Rep | Advising on securities | 2015-11-23 | 2016-02-29 | Rep | Dealing in securities | 2015-11-23 | 2016-03-04 |
| 8 | Entersys Asset Management Hong Kong Limited | Rep | Advising on securities | 2020-06-30 | 2020-07-17 | Rep | Asset management | 2020-06-30 | 2020-07-17 | RO | Advising on securities | 2020-07-17 | 2021-05-16 | RO | Asset management | 2020-07-17 | 2021-05-16 |
| 9 | Everbright Securities Investment Services (HK) Limited | Rep | Dealing in securities | 2008-03-25 | 2010-09-04 | Rep | Advising on securities | 2008-07-11 | 2010-09-04 |
| 10 | GUOTAI JUNAN ASSETS (ASIA) LIMITED | Rep | Advising on securities | 2011-06-07 | 2014-07-01 | Rep | Asset management | 2011-06-07 | 2014-07-01 | Rep | Dealing in securities | 2011-06-07 | 2014-07-01 |
| 11 | Original Asset Management Limited | RO | Advising on securities | 2022-06-23 | 2024-07-19 | RO | Asset management | 2022-06-23 | 2024-07-19 |
| 12 | Original Group Securities Limited | RO | Dealing in securities | 2022-06-23 | 2024-07-19 |
| 13 | PEGASUS FUND MANAGERS LIMITED | Rep | Advising on securities | 2008-03-01 | Rep | Asset management | 2008-03-01 |
| 14 | Sino Wealth Asset Management Limited | RO | Advising on securities | 2017-01-03 | 2018-07-03 | RO | Asset management | 2017-01-03 | 2018-07-03 |
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