Au, Pak Sze 歐柏斯
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 | JMC Capital HK Limited | Rep | Advising on securities | 2022-09-06 | 2023-07-13 | Rep | Asset management | 2022-09-06 | 2023-07-13 | Rep | Dealing in securities | 2022-09-06 | 2023-07-13 |
| 2 | JMC Capital International Limited | Rep | Advising on securities | 2022-10-31 | 2023-07-13 | Rep | Dealing in securities | 2022-10-31 | 2023-07-13 | Rep | Advising on futures contracts | 2022-12-19 | 2023-07-13 | Rep | Dealing in futures contracts | 2022-12-19 | 2023-07-13 |
| 3 | Morgan Stanley Asia Limited | Rep | Dealing in securities | 2008-07-29 | 2012-05-14 |
| 4 | Morgan Stanley Hong Kong Futures Limited | Rep | Dealing in futures contracts | 2008-07-29 | 2010-12-06 |
| 5 | Morgan Stanley Hong Kong Securities Limited | Rep | Dealing in futures contracts | 2010-12-06 | 2012-05-14 |
| 6 | Phoenix Capital (International) Limited | Rep | Advising on securities | 2017-10-13 | 2019-03-04 | Rep | Asset management | 2017-10-13 | 2019-03-04 | RO | Advising on securities | 2019-03-04 | 2021-04-24 | RO | Asset management | 2019-03-04 | 2021-04-24 |
| 7 | WRise Wealth Management (Hong Kong) Limited | Rep | Advising on securities | 2023-10-30 | Rep | Asset management | 2023-10-30 | Rep | Dealing in securities | 2023-10-30 |
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