Au, Tat Sang 區達生
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 | TIS SECURITIES (HK) LIMITED | Rep | Advising on securities | 2004-02-09 | |
| 2 | TIS SECURITIES (HK) LIMITED | Rep | Automated trading services | 2004-02-09 | |
| 3 | TIS SECURITIES (HK) LIMITED | Rep | Dealing in securities | 2004-02-09 | |
| 4 | TIS SECURITIES (HK) LIMITED | Rep | Advising on corporate finance | 2004-10-07 | |
| 5 | TIS SECURITIES (HK) LIMITED | Rep | Asset management | 2004-10-07 | |
| 6 | BOCI COMMODITIES & FUTURES LIMITED | Rep | Dealing in futures contracts | 2004-10-21 | 2008-07-01 |
| 7 | BOCI SECURITIES LIMITED | Rep | Dealing in securities | 2004-10-21 | 2008-07-01 |
| 8 | BOCI SECURITIES LIMITED | Rep | Dealing in futures contracts | 2005-10-13 | 2008-07-01 |
| 9 | HAI TONG SECURITIES (HK) BROKERAGE LIMITED | Rep | Dealing in futures contracts | 2008-09-08 | 2011-05-03 |
| 10 | HAI TONG SECURITIES (HK) BROKERAGE LIMITED | Rep | Dealing in securities | 2008-09-08 | 2011-05-03 |
| 11 | HAITONG INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2010-04-15 | 2011-10-05 |
| 12 | HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2010-04-15 | 2011-10-05 |
| 13 | HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Leveraged foreign exchange trading | 2010-09-22 | 2011-10-05 |
| 14 | SINOPAC FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2011-10-31 | 2014-03-31 |
| 15 | SINOPAC SECURITIES (ASIA) LIMITED | Rep | Advising on securities | 2011-10-31 | 2017-02-12 |
| 16 | SINOPAC SECURITIES (ASIA) LIMITED | Rep | Asset management | 2011-10-31 | 2017-02-12 |
| 17 | SINOPAC SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2011-10-31 | 2017-02-12 |
| 18 | SINOPAC SECURITIES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2013-05-21 | 2017-02-12 |
| 19 | Tung Shing Futures (Brokers) Limited | RO | Dealing in futures contracts | 2016-10-11 | 2017-02-12 |
| 20 | Tung Shing Securities (Brokers) Limited | RO | Dealing in securities | 2016-10-11 | 2017-02-12 |
| 21 | SINOPAC SECURITIES (ASIA) LIMITED | Rep | Advising on securities | 2017-02-13 | |
| 22 | SINOPAC SECURITIES (ASIA) LIMITED | RO | Dealing in futures contracts | 2017-02-13 | |
| 23 | SINOPAC SECURITIES (ASIA) LIMITED | RO | Dealing in securities | 2017-02-13 | |
| 24 | SINOPAC SECURITIES (ASIA) LIMITED | Rep | Asset management | 2017-02-13 | 2022-10-13 |
| 25 | SINOPAC SECURITIES (ASIA) LIMITED | RO | Asset management | 2022-10-13 |
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