Au, Kai Yuen 區啟源
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 | China Securities (International) Brokerage Company Limited | Rep | Advising on securities | 2017-09-26 | Rep | Dealing in futures contracts | 2017-09-26 | Rep | Dealing in securities | 2017-09-26 |
| 2 | CITIC Securities Brokerage (HK) Limited | Rep | Dealing in securities | 2005-07-04 | 2013-07-08 |
| 3 | CITIC Securities Futures (HK) Limited | Rep | Dealing in futures contracts | 2005-07-04 | 2013-07-08 |
| 4 | CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED | Rep | Advising on corporate finance | 2004-06-25 | Rep | Advising on securities | 2004-06-25 | Rep | Asset management | 2004-06-25 | Rep | Automated trading services | 2004-06-25 | Rep | Dealing in securities | 2005-07-04 |
| 5 | CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED | Rep | Advising on futures contracts | 2004-06-25 | Rep | Asset management | 2004-06-25 | Rep | Dealing in futures contracts | 2005-07-04 |
| 6 | CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED | Rep | Advising on corporate finance | 2004-06-25 | Rep | Advising on securities | 2004-06-25 | Rep | Asset management | 2004-06-25 | Rep | Automated trading services | 2004-06-25 | Rep | Dealing in securities | 2005-07-04 |
| 7 | CSC FUTURES (HK) LIMITED | Rep | Dealing in futures contracts | 2013-09-10 | 2015-05-05 |
| 8 | CSC SECURITIES (HK) LIMITED | Rep | Dealing in securities | 2013-09-10 | 2015-05-05 |
| 9 | HAITONG INTERNATIONAL FUTURES LIMITED | Rep | Dealing in futures contracts | 2015-05-18 | 2017-09-05 |
| 10 | HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2015-05-18 | 2017-09-05 |
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