SFC Licences of AU Kwok Yu, Francis 區國譽
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
Institution | Role | Licences | Start date | End date |
---|---|---|---|---|
China Renaissance Securities (Hong Kong) Limited 華興證券(香港)有限公司 | RE | 6 | 22 June 2015 | 27 September 2016 |
China Renaissance Securities (Hong Kong) Limited 華興證券(香港)有限公司 | RE | 4 | 22 June 2015 | 27 September 2016 |
China Renaissance Securities (Hong Kong) Limited 華興證券(香港)有限公司 | RE | 1 | 22 June 2015 | 27 September 2016 |
China Renaissance Securities (Hong Kong) Limited 華興證券(香港)有限公司 | RO | 6 | 24 October 2012 | 22 June 2015 |
China Renaissance Securities (Hong Kong) Limited 華興證券(香港)有限公司 | RO | 4 | 24 October 2012 | 22 June 2015 |
China Renaissance Securities (Hong Kong) Limited 華興證券(香港)有限公司 | RO | 1 | 24 October 2012 | 22 June 2015 |
Cowen and Company (Asia) Limited 高宏亞洲投資有限公司 | RO | 1 | 08 July 2011 | 30 April 2012 |
Cowen and Company (Asia) Limited 高宏亞洲投資有限公司 | RO | 4 | 28 March 2007 | 30 April 2012 |
Cowen and Company (Asia) Limited 高宏亞洲投資有限公司 | RO | 6 | 31 May 2004 | 30 April 2012 |
Cowen and Company (Asia) Limited 高宏亞洲投資有限公司 | RE | 4 | 01 April 2003 | 28 March 2007 |