Au, Hin Man 區顯民
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 | Rakuten Securities Hong Kong Limited | Rep | Leveraged foreign exchange trading | 2007-01-31 | 2007-12-30 |
| 2 | Rich Bay Securities Limited | Rep | Dealing in futures contracts | 2020-07-24 | 2020-08-05 | Rep | Dealing in securities | 2020-07-24 | 2020-08-05 | Rep | Advising on futures contracts | 2020-08-05 | 2020-09-14 | Rep | Advising on securities | 2020-08-05 | 2020-09-14 | RO | Dealing in futures contracts | 2020-08-05 | 2021-12-31 | RO | Dealing in securities | 2020-08-05 | 2021-12-31 | RO | Advising on futures contracts | 2020-09-14 | 2021-12-31 | RO | Advising on securities | 2020-09-14 | 2021-12-31 |
| 3 | Saxo Capital Markets HK Limited | Rep | Leveraged foreign exchange trading | 2012-04-03 | 2012-11-03 | Rep | Dealing in securities | 2012-04-03 | 2015-10-06 | Rep | Dealing in futures contracts | 2012-06-11 | 2015-05-18 | Rep | Leveraged foreign exchange trading | 2013-03-27 | 2018-11-14 | RO | Dealing in futures contracts | 2015-05-18 | 2020-02-12 | RO | Dealing in securities | 2015-10-06 | 2020-02-12 | RO | Leveraged foreign exchange trading | 2018-11-14 | 2020-02-12 |
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