Dennis Kin Hong Au
區健康
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Dennis Kin Hong Au (區健康), a licensed former licensee with CE reference AAC877. Total licence records on file: 18.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Xuantie International Investment Co., Ltd 玄鐵國際投資有限公司 |
RO | Type 2 — Dealing in futures contracts | 2019-03-15 | 2020-11-04 |
| Xuantie International Investment Co., Ltd 玄鐵國際投資有限公司 |
RO | Type 5 — Advising on futures contracts | 2019-03-15 | 2020-11-04 |
| Hao Tian Asset Management Limited 昊天資產管理有限公司 |
RO | Type 4 — Advising on securities | 2018-10-16 | 2018-11-22 |
| Hao Tian International Securities Limited 昊天國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2018-05-28 | 2018-11-22 |
| Hao Tian International Futures Limited 昊天國際期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2018-05-28 | 2018-11-22 |
| Hao Tian Asset Management Limited 昊天資產管理有限公司 |
RO | Type 9 — Asset management | 2018-05-28 | 2018-11-22 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2003-11-07 | 2009-05-28 |
| CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2003-11-07 | 2009-05-28 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2003-09-25 | 2003-11-07 |
| CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2003-09-25 | 2003-11-07 |
| Wings Securities (HK) Limited 金鵬證券有限公司 |
RO | Type 1 — Dealing in securities | present | 2003-09-22 |
| REXCAPITAL Online Limited 御泰網上金融服務有限公司 |
RO | Type 1 — Dealing in securities | present | 2003-07-22 |
| REXCAPITAL Futures Limited 御泰期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | present | 2003-09-22 |
| REXCAPITAL Online Limited 御泰網上金融服務有限公司 |
RO | Type 4 — Advising on securities | present | 2003-07-22 |
| Wings Securities (HK) Limited 金鵬證券有限公司 |
RO | Type 4 — Advising on securities | present | 2003-07-22 |
| Wings Securities (HK) Limited 金鵬證券有限公司 |
RO | Type 6 — Advising on corporate finance | present | 2003-07-22 |
| REXCAPITAL Online Limited 御泰網上金融服務有限公司 |
RO | Type 9 — Asset management | present | 2003-07-22 |
| Wings Securities (HK) Limited 金鵬證券有限公司 |
RO | Type 9 — Asset management | present | 2003-07-22 |