Au, Kai Tat 區繼達

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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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