SFC Licences of AU Tat Sang 區達生

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

Institution Role Licences Start date End date
SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 RO 9 13 October 2022
SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 RE 9 13 February 2017 13 October 2022
SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 RO 2 13 February 2017
SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 RO 1 13 February 2017
SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 RE 4 13 February 2017
Tung Shing Futures (Brokers) Limited 東盛期貨(經紀)有限公司 RO 2 11 October 2016 12 February 2017
Tung Shing Securities (Brokers) Limited 東盛證券(經紀)有限公司 RO 1 11 October 2016 12 February 2017
SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 RE 2 21 May 2013 12 February 2017
SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 RE 9 31 October 2011 12 February 2017
SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 RE 4 31 October 2011 12 February 2017
SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 RE 1 31 October 2011 12 February 2017
SinoPac Futures (Asia) Limited 永豐金期貨(亞洲)有限公司 RE 2 31 October 2011 31 March 2014
Haitong International Securities Company Limited 海通國際證券有限公司 RE 3 22 September 2010 05 October 2011
Haitong International Futures Limited 海通國際期貨有限公司 RE 2 15 April 2010 05 October 2011
Haitong International Securities Company Limited 海通國際證券有限公司 RE 1 15 April 2010 05 October 2011
Hai Tong Securities (HK) Brokerage Limited 海通證券(香港)經紀有限公司 RE 2 08 September 2008 03 May 2011
Hai Tong Securities (HK) Brokerage Limited 海通證券(香港)經紀有限公司 RE 1 08 September 2008 03 May 2011
BOCI Securities Limited 中銀國際證券有限公司 RE 2 13 October 2005 01 July 2008
BOCI Commodities & Futures Limited 中銀國際期貨有限公司 RE 2 21 October 2004 01 July 2008
BOCI Securities Limited 中銀國際證券有限公司 RE 1 21 October 2004 01 July 2008
TIS Securities (HK) Limited 金鼎綜合證券(香港)有限公司 RE 6 01 April 2003 07 October 2004
TIS Securities (HK) Limited 金鼎綜合證券(香港)有限公司 RE 9 01 April 2003 07 October 2004
TIS Securities (HK) Limited 金鼎綜合證券(香港)有限公司 RE 1 01 April 2003 09 February 2004
TIS Securities (HK) Limited 金鼎綜合證券(香港)有限公司 RE 4 01 April 2003 09 February 2004
TIS Securities (HK) Limited 金鼎綜合證券(香港)有限公司 RE 7 01 April 2003 09 February 2004