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