SFC Licences of AU Kai Yuen 區啟源

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 26 September 2017
China Securities (International) Brokerage Company Limited 中信建投(國際)証券有限公司 RE 2 26 September 2017
China Securities (International) Brokerage Company Limited 中信建投(國際)証券有限公司 RE 1 26 September 2017
Haitong International Futures Limited 海通國際期貨有限公司 RE 2 18 May 2015 05 September 2017
Haitong International Securities Company Limited 海通國際證券有限公司 RE 1 18 May 2015 05 September 2017
CSC Futures (HK) Limited 群益期貨(香港)有限公司 RE 2 10 September 2013 05 May 2015
CSC Securities (HK) Limited 群益證券(香港)有限公司 RE 1 10 September 2013 05 May 2015
CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 RE 2 04 July 2005 08 July 2013
CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 RE 1 04 July 2005 08 July 2013
Core Pacific-Yamaichi Futures (H.K.) Limited 京華山一期貨(香港)有限公司 RE 2 01 April 2003 04 July 2005
Core Pacific-Yamaichi Securities (H.K.) Limited 京華山一證券(香港)有限公司 RE 1 01 April 2003 04 July 2005
Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 RE 1 01 April 2003 04 July 2005
Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 RE 4 01 April 2003 25 June 2004
Core Pacific-Yamaichi Futures (H.K.) Limited 京華山一期貨(香港)有限公司 RE 9 01 April 2003 25 June 2004
Core Pacific-Yamaichi Futures (H.K.) Limited 京華山一期貨(香港)有限公司 RE 5 01 April 2003 25 June 2004
Core Pacific-Yamaichi Securities (H.K.) Limited 京華山一證券(香港)有限公司 RE 9 01 April 2003 25 June 2004
Core Pacific-Yamaichi Securities (H.K.) Limited 京華山一證券(香港)有限公司 RE 7 01 April 2003 25 June 2004
Core Pacific-Yamaichi Securities (H.K.) Limited 京華山一證券(香港)有限公司 RE 6 01 April 2003 25 June 2004
Core Pacific-Yamaichi Securities (H.K.) Limited 京華山一證券(香港)有限公司 RE 4 01 April 2003 25 June 2004
Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 RE 9 01 April 2003 25 June 2004
Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 RE 7 01 April 2003 25 June 2004
Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 RE 6 01 April 2003 25 June 2004