Au, Yiu Fai 區耀輝

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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 BaoQiao Partners Capital Limited Rep Advising on corporate finance 2010-12-02 2011-02-15
Rep Dealing in securities 2010-12-02 2011-02-15
2 Bluemount Asset Management Limited RO Asset management 2021-08-16 2022-05-08
3 Bluemount Securities Limited RO Advising on securities 2021-08-16 2022-05-08
RO Dealing in securities 2021-08-16 2022-05-08
4 Canfield Securities Company Limited RO Advising on securities 2018-11-22 2020-05-31
RO Asset management 2018-11-22 2020-05-31
5 CES Commodities (HK) Limited Rep Dealing in futures contracts 2008-05-13 2010-09-04
6 CITIC Securities Asset Management (HK) Limited Rep Advising on securities 2014-07-09 2016-03-04
Rep Asset management 2014-07-09 2016-03-04
Rep Dealing in securities 2015-02-10 2016-03-04
7 CITIC Securities Brokerage (HK) Limited Rep Advising on securities 2015-11-23 2016-02-29
Rep Dealing in securities 2015-11-23 2016-03-04
8 Entersys Asset Management Hong Kong Limited Rep Advising on securities 2020-06-30 2020-07-17
Rep Asset management 2020-06-30 2020-07-17
RO Advising on securities 2020-07-17 2021-05-16
RO Asset management 2020-07-17 2021-05-16
9 Everbright Securities Investment Services (HK) Limited Rep Dealing in securities 2008-03-25 2010-09-04
Rep Advising on securities 2008-07-11 2010-09-04
10 GUOTAI JUNAN ASSETS (ASIA) LIMITED Rep Advising on securities 2011-06-07 2014-07-01
Rep Asset management 2011-06-07 2014-07-01
Rep Dealing in securities 2011-06-07 2014-07-01
11 Original Asset Management Limited RO Advising on securities 2022-06-23
RO Asset management 2022-06-23
12 Original Group Securities Limited RO Dealing in securities 2022-06-23
13 PEGASUS FUND MANAGERS LIMITED Rep Advising on securities 2008-03-01
Rep Asset management 2008-03-01
14 Sino Wealth Asset Management Limited RO Advising on securities 2017-01-03 2018-07-03
RO Asset management 2017-01-03 2018-07-03

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