SFC Licences of AU Yiu Fai 區耀輝

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

Institution Role Licences Start date End date
Original Asset Management Limited 原創資產管理有限公司
RO 4, 9 23 June 2022
OX Financial Securities Limited 小牛金服證券有限公司
RO 1 23 June 2022
Bluemount Securities Limited 藍山證券有限公司
RO 1, 4 16 August 2021 08 May 2022
Bluemount Asset Management Limited 藍山資產管理有限公司
RO 9 16 August 2021 08 May 2022
Rasong Asset Management Limited 瑞松資本有限公司
RO 4, 9 17 July 2020 16 May 2021
Rasong Asset Management Limited 瑞松資本有限公司
RE 4, 9 30 June 2020 17 July 2020
Canfield Securities Company Limited 勤豐證券有限公司
RO 4, 9 22 November 2018 31 May 2020
Sino Wealth Asset Management Limited 國新資產管理有限公司
RO 4, 9 03 January 2017 03 July 2018
CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司
RE 1 23 November 2015 04 March 2016
CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司
RE 4 23 November 2015 29 February 2016
CLSA Asset Management Limited 中信里昂資產管理有限公司
RE 1 10 February 2015 04 March 2016
CLSA Asset Management Limited 中信里昂資產管理有限公司
RE 4, 9 09 July 2014 04 March 2016
Guotai Junan Assets (Asia) Limited 國泰君安資產管理(亞洲)有限公司
RE 1, 4, 9 07 June 2011 01 July 2014
BaoQiao Partners Capital Limited 寶橋融資有限公司
RE 1, 6 02 December 2010 15 February 2011
Sun Hung Kai Investment Services Limited 新鴻基投資服務有限公司
RE 4 11 July 2008 04 September 2010
Sun Hung Kai Commodities Limited 新鴻基期貨有限公司
RE 2 13 May 2008 04 September 2010
Sun Hung Kai Investment Services Limited 新鴻基投資服務有限公司
RE 1 25 March 2008 04 September 2010
Pegasus Fund Managers Limited 東驥基金管理有限公司
RE 4, 9 01 April 2003 01 March 2008