Au, Tin Wai 區天偉
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 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Dealing in securities | 2003-12-15 | 2004-04-01 |
| 2 | LEHMAN BROTHERS ASIA LIMITED | Rep | Dealing in securities | 2004-05-15 | 2006-07-06 |
| 3 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Dealing in securities | 2006-08-09 | 2009-07-23 |
| 4 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2006-08-28 | 2009-07-23 |
| 5 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Advising on securities | 2006-08-28 | 2009-07-23 |
| 6 | J.P. MORGAN BROKING (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2006-08-28 | 2009-07-23 |
| 7 | Credit Agricole Securities (Asia) Limited | Rep | Dealing in securities | 2009-09-04 | 2012-06-30 |
| 8 | CGS International Securities Hong Kong Limited | Rep | Dealing in securities | 2012-07-03 | 2012-11-16 |
| 9 | MACQUARIE CAPITAL LIMITED | Rep | Dealing in securities | 2013-01-14 | 2014-10-06 |
| 10 | MACQUARIE CAPITAL LIMITED | Rep | Automated trading services | 2013-07-25 | 2014-10-06 |
| 11 | MACQUARIE CAPITAL LIMITED | RO | Automated trading services | 2014-10-06 | 2021-07-16 |
| 12 | MACQUARIE CAPITAL LIMITED | RO | Dealing in securities | 2014-10-06 | 2021-07-16 |
| 13 | Macquarie Asia Securities Limited | Rep | Dealing in securities | 2020-09-30 | 2021-07-16 |
| 14 | Citigroup Global Markets Asia Limited | Rep | Automated trading services | 2021-08-13 | |
| 15 | Citigroup Global Markets Asia Limited | Rep | Dealing in securities | 2021-08-13 | |
| 16 | Citigroup Global Markets Asia Limited | Rep | Dealing in futures contracts | 2021-09-30 |
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