Au, Yu Ching 區裕正
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 | AIA Investment Management HK Limited | RO | Asset management | 2018-11-14 | 2023-06-30 | RO | Advising on securities | 2020-03-13 | 2023-06-30 |
2 | BARING ASSET MANAGEMENT (ASIA) LIMITED | Rep | Advising on futures contracts | 2007-08-14 | 2007-09-11 | Rep | Advising on securities | 2007-08-14 | 2007-09-11 | Rep | Asset management | 2007-08-14 | 2007-09-11 | RO | Advising on futures contracts | 2007-09-11 | 2011-03-01 | RO | Advising on securities | 2007-09-11 | 2011-03-01 | RO | Asset management | 2007-09-11 | 2011-03-01 | Rep | Dealing in securities | 2008-06-02 | 2011-03-01 |
3 | HAMON ASIAN ADVISORS LIMITED | Rep | Advising on securities | 2003-09-18 | 2004-08-30 | Rep | Asset management | 2003-09-18 | 2004-08-30 | RO | Advising on securities | 2004-08-30 | 2007-08-01 | RO | Asset management | 2004-08-30 | 2007-08-01 |
4 | HAMON ASSET MANAGEMENT LIMITED | Rep | Advising on corporate finance | 2003-08-19 | Rep | Advising on securities | 2004-08-30 | Rep | Asset management | 2004-08-30 | Rep | Advising on futures contracts | 2003-09-03 | 2004-08-30 | RO | Advising on futures contracts | 2004-08-30 | 2007-08-01 | RO | Advising on securities | 2004-08-30 | 2007-08-01 | RO | Asset management | 2004-08-30 | 2007-08-01 |
5 | HAMON INVESTMENT MANAGEMENT LIMITED | Rep | Advising on corporate finance | 2003-08-19 | Rep | Advising on securities | 2004-08-30 | Rep | Asset management | 2004-08-30 | Rep | Advising on futures contracts | 2003-09-03 | 2004-08-30 | RO | Advising on futures contracts | 2004-08-30 | 2007-08-01 | RO | Advising on securities | 2004-08-30 | 2007-08-01 | RO | Asset management | 2004-08-30 | 2007-08-01 |
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