Au, Kwan Lok 歐君樂
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 | Avenue Asset Management Limited (HK) | Rep | Advising on securities | 2015-10-05 | 2019-06-04 | Rep | Asset management | 2015-10-05 | 2019-06-04 |
| 2 | Avenue Family Office Limited | Rep | Advising on securities | 2017-05-15 | 2019-06-01 | Rep | Asset management | 2017-05-15 | 2019-06-01 | Rep | Dealing in securities | 2017-05-15 | 2019-06-01 |
| 3 | CES Commodities (HK) Limited | Rep | Dealing in futures contracts | 2006-11-29 | 2015-10-01 |
| 4 | CES Forex (HK) Limited | Rep | Leveraged foreign exchange trading | 2009-03-26 | 2015-10-01 |
| 5 | Everbright Securities Investment Services (HK) Limited | Rep | Dealing in securities | 2005-09-20 | 2015-10-01 | Rep | Advising on securities | 2008-08-26 | 2015-10-01 |
| 6 | Garvis Capital Management Limited | RO | Advising on securities | 2024-04-10 | RO | Asset management | 2024-04-10 |
| 7 | Hao Tian Asset Management Limited | Rep | Asset management | 2019-06-19 | 2019-07-05 | RO | Asset management | 2019-07-05 | 2020-02-24 | RO | Advising on securities | 2019-09-16 | 2020-02-24 | Rep | Advising on securities | 2020-02-24 | 2020-04-16 | Rep | Asset management | 2020-02-24 | 2020-04-16 |
| 8 | Hao Tian International Futures Limited | RO | Dealing in futures contracts | 2019-07-05 | 2020-03-23 | Rep | Dealing in futures contracts | 2020-03-23 | 2020-04-16 |
| 9 | Hao Tian International Securities Limited | RO | Dealing in securities | 2019-09-16 | 2020-02-24 | Rep | Dealing in securities | 2020-02-24 | 2020-04-16 |
| 10 | One Heritage Capital Management Limited | RO | Advising on securities | 2020-05-12 | 2024-02-08 | RO | Asset management | 2020-05-12 | 2024-02-08 | Rep | Advising on securities | 2024-02-08 | 2024-03-13 | Rep | Asset management | 2024-02-08 | 2024-03-13 |
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