Au, Kai Tat 區繼達
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 | Global Prosperity Financial Company Limited | RO | Advising on securities | 2021-04-26 | |
| 2 | Global Prosperity Financial Company Limited | RO | Asset management | 2021-04-26 | |
| 3 | Global Prosperity Financial Company Limited | RO | Dealing in securities | 2021-04-26 | |
| 4 | PHILLIP COMMODITIES (H.K.) LIMITED | Rep | Dealing in futures contracts | 2010-04-22 | 2011-08-20 |
| 5 | PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2010-04-22 | 2011-08-20 |
| 6 | PHILLIP SECURITIES (HONG KONG) LIMITED | Rep | Advising on securities | 2011-07-18 | 2011-08-20 |
| 7 | BOCI SECURITIES LIMITED | Rep | Dealing in futures contracts | 2011-09-01 | 2013-02-21 |
| 8 | BOCI SECURITIES LIMITED | Rep | Dealing in securities | 2011-09-01 | 2013-02-21 |
| 9 | CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED | Rep | Dealing in futures contracts | 2013-03-01 | 2017-04-30 |
| 10 | CHINA EVERBRIGHT SECURITIES (HK) LIMITED | Rep | Dealing in securities | 2013-03-01 | 2017-04-30 |
| 11 | CHINA EVERBRIGHT FOREX & FUTURES (HK) LIMITED | Rep | Leveraged foreign exchange trading | 2013-04-18 | 2017-04-30 |
| 12 | Haitong Futures Hong Kong Limited | Rep | Dealing in futures contracts | 2017-05-11 | 2018-10-02 |
| 13 | CHINA TIAN YUAN COMMODITIES AND FUTURES LIMITED | Rep | Dealing in futures contracts | 2018-10-10 | 2018-11-14 |
| 14 | CHINA ZHONG HENG FINANCE GROUP LIMITED | Rep | Advising on securities | 2018-10-22 | 2019-11-09 |
| 15 | CHINA ZHONG HENG FINANCE GROUP LIMITED | Rep | Dealing in securities | 2018-10-22 | 2019-11-09 |
| 16 | CHINA TIAN YUAN COMMODITIES AND FUTURES LIMITED | RO | Dealing in futures contracts | 2018-11-14 | 2019-11-09 |
| 17 | CHINA ZHONG HENG FINANCE GROUP LIMITED | Rep | Advising on securities | 2020-03-19 | 2020-06-30 |
| 18 | CHINA ZHONG HENG FINANCE GROUP LIMITED | Rep | Dealing in securities | 2020-03-19 | 2020-06-30 |
| 19 | CHINA ZHONG HENG FINANCE GROUP LIMITED | Rep | Asset management | 2020-04-28 | 2020-07-24 |
| 20 | CHINA ZHONG HENG FINANCE GROUP LIMITED | RO | Advising on securities | 2020-06-30 | 2021-03-29 |
| 21 | CHINA ZHONG HENG FINANCE GROUP LIMITED | RO | Dealing in securities | 2020-06-30 | 2021-03-29 |
| 22 | CHINA ZHONG HENG FINANCE GROUP LIMITED | RO | Asset management | 2020-07-24 | 2021-03-29 |
| 23 | Global Prosperity Financial Company Limited | Rep | Advising on securities | 2021-04-01 | 2021-04-26 |
| 24 | Global Prosperity Financial Company Limited | Rep | Asset management | 2021-04-01 | 2021-04-26 |
| 25 | Global Prosperity Financial Company Limited | Rep | Dealing in securities | 2021-04-01 | 2021-04-26 |
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