Au, Tin Wai 區天偉

show old organisation names

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 J.P. MORGAN BROKING (HONG KONG) LIMITED Rep Advising on futures contracts 2006-08-28 2009-07-23
2 J.P. MORGAN BROKING (HONG KONG) LIMITED Rep Advising on securities 2006-08-28 2009-07-23
3 MACQUARIE CAPITAL LIMITED Rep Automated trading services 2013-07-25 2014-10-06
MACQUARIE CAPITAL LIMITED RO 2014-10-06 2021-07-16
Citigroup Global Markets Asia Limited Rep 2021-08-13
4 J.P. MORGAN BROKING (HONG KONG) LIMITED Rep Dealing in futures contracts 2006-08-28 2009-07-23
Citigroup Global Markets Asia Limited Rep 2021-09-30
5 GOLDMAN SACHS (ASIA) L.L.C. Rep Dealing in securities 2003-12-15 2004-04-01
LEHMAN BROTHERS ASIA LIMITED Rep 2004-05-15 2006-07-06
J.P. MORGAN BROKING (HONG KONG) LIMITED Rep 2006-08-09 2009-07-23
Credit Agricole Securities (Asia) Limited Rep 2009-09-04 2012-06-30
CGS International Securities Hong Kong Limited Rep 2012-07-03 2012-11-16
MACQUARIE CAPITAL LIMITED Rep 2013-01-14 2014-10-06
MACQUARIE CAPITAL LIMITED RO 2014-10-06 2021-07-16
Macquarie Asia Securities Limited Rep 2020-09-30 2021-07-16
Citigroup Global Markets Asia Limited Rep 2021-08-13

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