SFC licenceholder AEM919 AU Kai Yuen 區啟源
Licences
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| China Securities (International) Brokerage Company Limited 中信建投(國際)証券有限公司 | RE | 4 (Advising on Securities), 1 (Dealing in Securities), 2 (Dealing in Futures Contracts) | 2017-09-26 | |
| Haitong International Securities Company Limited 海通國際證券有限公司 | RE | 1 (Dealing in Securities) | 2015-05-18 | 2017-09-05 |
| Haitong International Futures Limited 海通國際期貨有限公司 | RE | 2 (Dealing in Futures Contracts) | 2015-05-18 | 2017-09-05 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 | RE | 1 (Dealing in Securities) | 2013-09-10 | 2015-05-05 |
| CSC Futures (HK) Limited 群益期貨(香港)有限公司 | RE | 2 (Dealing in Futures Contracts) | 2013-09-10 | 2015-05-05 |
| CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 | RE | 2 (Dealing in Futures Contracts) | 2005-07-04 | 2013-07-08 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 | RE | 1 (Dealing in Securities) | 2005-07-04 | 2013-07-08 |
| Core Pacific-Yamaichi Futures (H.K.) Limited 京華山一期貨(香港)有限公司 | RE | 2 (Dealing in Futures Contracts) | 2003-04-01 | 2005-07-04 |
| Core Pacific-Yamaichi Securities (H.K.) Limited 京華山一證券(香港)有限公司 | RE | 1 (Dealing in Securities) | 2003-04-01 | 2005-07-04 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 | RE | 1 (Dealing in Securities) | 2003-04-01 | 2005-07-04 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 | RE | 9 (Asset Management), 4 (Advising on Securities), 6 (Advising on Corporate Finance), 7 (Providing Automated Trading Services) | 2003-04-01 | 2004-06-25 |
| Core Pacific-Yamaichi Securities (H.K.) Limited 京華山一證券(香港)有限公司 | RE | 6 (Advising on Corporate Finance), 4 (Advising on Securities), 7 (Providing Automated Trading Services), 9 (Asset Management) | 2003-04-01 | 2004-06-25 |
| Core Pacific-Yamaichi Futures (H.K.) Limited 京華山一期貨(香港)有限公司 | RE | 9 (Asset Management), 5 (Advising on Futures Contracts) | 2003-04-01 | 2004-06-25 |