Au, Kai Tat 區繼達
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 | BOCI SECURITIES LIMITED | Rep | Dealing in futures contracts | 2011-09-01 | 2013-02-21 | Rep | Dealing in securities | 2011-09-01 | 2013-02-21 |
2 | CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED | Rep | Dealing in futures contracts | 2013-03-01 | 2017-04-30 | Rep | Leveraged foreign exchange trading | 2013-04-18 | 2017-04-30 |
3 | CHINA EVERBRIGHT SECURITIES (HK) LIMITED | Rep | Dealing in securities | 2013-03-01 | 2017-04-30 |
4 | CHINA TIAN YUAN COMMODITIES AND FUTURES LIMITED | Rep | Dealing in futures contracts | 2018-10-10 | 2018-11-14 | RO | Dealing in futures contracts | 2018-11-14 | 2019-11-09 |
5 | CHINA ZHONG HENG FINANCE GROUP LIMITED | Rep | Advising on securities | 2018-10-22 | 2019-11-09 | Rep | Dealing in securities | 2018-10-22 | 2019-11-09 | Rep | Advising on securities | 2020-03-19 | 2020-06-30 | Rep | Dealing in securities | 2020-03-19 | 2020-06-30 | Rep | Asset management | 2020-04-28 | 2020-07-24 | RO | Advising on securities | 2020-06-30 | 2021-03-29 | RO | Dealing in securities | 2020-06-30 | 2021-03-29 | RO | Asset management | 2020-07-24 | 2021-03-29 |
6 | Global Prosperity Financial Company Limited | Rep | Advising on securities | 2021-04-01 | 2021-04-26 | Rep | Asset management | 2021-04-01 | 2021-04-26 | Rep | Dealing in securities | 2021-04-01 | 2021-04-26 | RO | Advising on securities | 2021-04-26 | RO | Asset management | 2021-04-26 | RO | Dealing in securities | 2021-04-26 |
7 | Haitong Futures Hong Kong Limited | Rep | Dealing in futures contracts | 2017-05-11 | 2018-10-02 |
8 | PHILLIP COMMODITIES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2010-04-22 | 2011-08-20 |
9 | PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2010-04-22 | 2011-08-20 | Rep | Advising on securities | 2011-07-18 | 2011-08-20 |
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