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