SFC Licences of AU Kwong Hoi 區光海

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Institution Role Licences Start date End date
Orient Securities Limited 東方匯財證券有限公司 RO 9 15 July 2022
Orient Securities Limited 東方匯財證券有限公司 RO 4 15 July 2022
Orient Securities Limited 東方匯財證券有限公司 RO 1 15 July 2022
ChaoShang Securities Limited 潮商證券有限公司 RO 2 06 April 2017 18 December 2020
ChaoShang Asset Management Limited 潮商資產管理有限公司 RO 9 03 April 2017 18 December 2020
ChaoShang Asset Management Limited 潮商資產管理有限公司 RO 4 03 April 2017 18 December 2020
ChaoShang Securities Limited 潮商證券有限公司 RO 1 12 May 2016 18 December 2020
Sino-Rich Securities & Futures Limited 中順證券期貨有限公司 RO 9 22 September 2015 06 May 2016
Sino-Rich Securities & Futures Limited 中順證券期貨有限公司 RO 1 18 January 2011 06 May 2016
Sino-Rich Securities & Futures Limited 中順證券期貨有限公司 RO 2 17 November 2010 06 May 2016
Jimei Futures Limited 集美期貨有限公司 RO 2 03 August 2009 30 July 2010
Jimei Securities Limited 集美證券有限公司 RE 1 03 June 2009 30 July 2010
Jimei Futures Limited 集美期貨有限公司 RE 2 03 June 2009 03 August 2009
RHB Futures Hong Kong Limited 興業金融期貨有限公司 RE 2 05 October 2005 30 May 2009
RHB Securities Hong Kong Limited 興業金融證券有限公司 RE 1 05 October 2005 30 May 2009
REXCAPITAL Futures Limited 御泰期貨有限公司 RE 2 01 April 2003 04 October 2005
Wings Securities (HK) Limited 金鵬證券有限公司 RE 1 01 April 2003 04 October 2005
Wings Securities (HK) Limited 金鵬證券有限公司 RE 4 01 April 2003 28 April 2004
Wings Securities (HK) Limited 金鵬證券有限公司 RE 6 01 April 2003 28 April 2004
Wings Securities (HK) Limited 金鵬證券有限公司 RE 9 01 April 2003 28 April 2004
REXCAPITAL Futures Limited 御泰期貨有限公司 RE 5 01 April 2003 28 April 2004
REXCAPITAL Futures Limited 御泰期貨有限公司 RE 9 01 April 2003 28 April 2004