Au, Francis Kwok Yu 區國譽
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 | Cowen and Company (Asia) Limited | Rep | Advising on securities | 2007-03-28 | |
| 2 | Cowen and Company (Asia) Limited | RO | Advising on corporate finance | 2004-05-31 | 2012-04-30 |
| 3 | Cowen and Company (Asia) Limited | RO | Advising on securities | 2007-03-28 | 2012-04-30 |
| 4 | Cowen and Company (Asia) Limited | RO | Dealing in securities | 2011-07-08 | 2012-04-30 |
| 5 | China Renaissance Securities (Hong Kong) Limited | RO | Advising on corporate finance | 2012-10-24 | 2015-06-22 |
| 6 | China Renaissance Securities (Hong Kong) Limited | RO | Advising on securities | 2012-10-24 | 2015-06-22 |
| 7 | China Renaissance Securities (Hong Kong) Limited | RO | Dealing in securities | 2012-10-24 | 2015-06-22 |
| 8 | China Renaissance Securities (Hong Kong) Limited | Rep | Advising on corporate finance | 2015-06-22 | 2016-09-27 |
| 9 | China Renaissance Securities (Hong Kong) Limited | Rep | Advising on securities | 2015-06-22 | 2016-09-27 |
| 10 | China Renaissance Securities (Hong Kong) Limited | Rep | Dealing in securities | 2015-06-22 | 2016-09-27 |
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