Au, Kwong Hoi 區光海
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 | CHAOSHANG ASSET MANAGEMENT LIMITED | RO | Advising on securities | 2017-04-03 | 2020-12-18 | RO | Asset management | 2017-04-03 | 2020-12-18 |
| 2 | ChaoShang Securities Limited | RO | Dealing in securities | 2016-05-12 | 2020-12-18 | RO | Dealing in futures contracts | 2017-04-06 | 2020-12-18 |
| 3 | JIMEI FUTURES LIMITED | Rep | Dealing in futures contracts | 2009-06-03 | 2009-08-03 | RO | Dealing in futures contracts | 2009-08-03 | 2010-07-30 |
| 4 | JIMEI SECURITIES LIMITED | Rep | Dealing in securities | 2009-06-03 | 2010-07-30 |
| 5 | ORIENT SECURITIES LIMITED | RO | Advising on securities | 2022-07-15 | RO | Asset management | 2022-07-15 | RO | Dealing in securities | 2022-07-15 |
| 6 | REXCAPITAL FUTURES LIMITED | Rep | Advising on futures contracts | 2004-04-28 | Rep | Asset management | 2004-04-28 | Rep | Dealing in futures contracts | 2005-10-04 |
| 7 | RHB FUTURES HONG KONG LIMITED | Rep | Dealing in futures contracts | 2005-10-05 | 2009-05-30 |
| 8 | RHB SECURITIES HONG KONG LIMITED | Rep | Dealing in securities | 2005-10-05 | 2009-05-30 |
| 9 | Sino-Rich Securities & Futures Limited | RO | Dealing in futures contracts | 2010-11-17 | 2016-05-06 | RO | Dealing in securities | 2011-01-18 | 2016-05-06 | RO | Asset management | 2015-09-22 | 2016-05-06 |
| 10 | WINGS SECURITIES (HK) LIMITED | Rep | Advising on corporate finance | 2004-04-28 | Rep | Advising on securities | 2004-04-28 | Rep | Asset management | 2004-04-28 | Rep | Dealing in securities | 2005-10-04 |
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