Au, Yu Him 區宇謙
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 | HAITONG INTERNATIONAL ASSET MANAGEMENT (HK) LIMITED | Rep | Advising on futures contracts | 2017-10-19 | 2022-05-20 | Rep | Advising on securities | 2017-10-19 | 2022-05-20 | Rep | Asset management | 2017-10-19 | 2022-05-20 |
| 2 | HAITONG INTERNATIONAL ASSET MANAGEMENT LIMITED | Rep | Advising on futures contracts | 2017-10-19 | 2020-12-09 | Rep | Advising on securities | 2017-10-19 | 2020-12-09 | Rep | Asset management | 2017-10-19 | 2020-12-09 |
| 3 | HAITONG INTERNATIONAL INVESTMENT MANAGERS LIMITED | Rep | Advising on securities | 2017-10-19 | 2022-05-20 | Rep | Asset management | 2017-10-19 | 2022-05-20 | Rep | Dealing in securities | 2017-10-19 | 2022-05-20 |
| 4 | HANG SENG INVESTMENT MANAGEMENT LIMITED | Rep | Advising on securities | 2015-03-18 | 2017-08-31 | Rep | Asset management | 2015-03-18 | 2017-08-31 | Rep | Dealing in securities | 2015-03-18 | 2017-08-31 |
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