Kin Man Au
歐建文
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kin Man Au (歐建文), a licensed former licensee with CE reference ABF928. Total licence records on file: 22.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| CMBC Securities Company Limited 民銀證券有限公司 |
RO | Type 1 — Dealing in securities | 2021-09-17 | 2023-12-22 |
| CMBC International Futures Company Limited 民銀國際期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2021-09-17 | 2023-12-22 |
| CMBC Securities Company Limited 民銀證券有限公司 |
RO | Type 4 — Advising on securities | 2021-09-17 | 2023-12-22 |
| CMBC Securities Company Limited 民銀證券有限公司 |
Rep | Type 1 — Dealing in securities | 2021-08-03 | 2021-09-17 |
| CMBC International Futures Company Limited 民銀國際期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2021-08-03 | 2021-09-17 |
| CMBC Securities Company Limited 民銀證券有限公司 |
Rep | Type 4 — Advising on securities | 2021-08-03 | 2021-09-17 |
| Chow Sang Sang Securities Limited 周生生證券有限公司 |
RO | Type 4 — Advising on securities | 2019-01-16 | 2021-04-30 |
| Chow Sang Sang Securities Limited 周生生證券有限公司 |
RO | Type 1 — Dealing in securities | 2017-09-25 | 2021-04-30 |
| Chow Sang Sang Futures Limited 周生生期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2017-09-25 | 2021-04-30 |
| Chow Sang Sang Securities Limited 周生生證券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2017-09-25 |
| Chow Sang Sang Securities (HK) Limited 周生生證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2004-10-29 |
| Chow Sang Sang Futures Limited 周生生期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2017-09-25 |
| Chow Sang Sang Securities Limited 周生生證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2005-01-06 |
| Chow Sang Sang Securities (HK) Limited 周生生證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-10-29 |
| Chow Sang Sang Futures Limited 周生生期貨有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2005-01-06 |
| Chow Sang Sang Securities Limited 周生生證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2005-01-06 |
| Chow Sang Sang Securities (HK) Limited 周生生證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-10-29 |
| Chow Sang Sang Securities (HK) Limited 周生生證券(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-08-04 |
| Chow Sang Sang Securities Limited 周生生證券有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-08-04 |
| Chow Sang Sang Futures Limited 周生生期貨有限公司 |
Rep | Type 9 — Asset management | present | 2005-01-06 |
| Chow Sang Sang Securities Limited 周生生證券有限公司 |
Rep | Type 9 — Asset management | present | 2005-01-06 |
| Chow Sang Sang Securities (HK) Limited 周生生證券(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2004-10-29 |