Francis Kwok Yu Au
區國譽
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Francis Kwok Yu Au (區國譽), a licensed former licensee with CE reference ADB037. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| China Renaissance Securities (Hong Kong) Limited 華興證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2015-06-22 | 2016-09-27 |
| China Renaissance Securities (Hong Kong) Limited 華興證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2015-06-22 | 2016-09-27 |
| China Renaissance Securities (Hong Kong) Limited 華興證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2015-06-22 | 2016-09-27 |
| China Renaissance Securities (Hong Kong) Limited 華興證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2012-10-24 | 2015-06-22 |
| China Renaissance Securities (Hong Kong) Limited 華興證券(香港)有限公司 |
RO | Type 4 — Advising on securities | 2012-10-24 | 2015-06-22 |
| China Renaissance Securities (Hong Kong) Limited 華興證券(香港)有限公司 |
RO | Type 6 — Advising on corporate finance | 2012-10-24 | 2015-06-22 |
| Xeram and Company (Asia) Limited |
RO | Type 1 — Dealing in securities | 2011-07-08 | 2012-04-30 |
| Xeram and Company (Asia) Limited |
RO | Type 4 — Advising on securities | 2007-03-28 | 2012-04-30 |
| Xeram and Company (Asia) Limited |
RO | Type 6 — Advising on corporate finance | 2004-05-31 | 2012-04-30 |
| Xeram and Company (Asia) Limited |
Rep | Type 4 — Advising on securities | present | 2007-03-28 |