Audrey Ai Wei Zau
曹靄為
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Audrey Ai Wei Zau (曹靄為), a licensed Representative with CE reference ADS448. Currently licensed at 1 firm(s): Lombard Odier (Hong Kong) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Lombard Odier (Hong Kong) Limited 瑞士隆奧(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2019-07-18 | present |
| Lombard Odier (Hong Kong) Limited 瑞士隆奧(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2019-07-18 | present |
| Rothschild & Co Wealth Management Hong Kong Limited | RO | Type 1 — Dealing in securities | 2015-11-06 | 2019-06-30 |
| Rothschild & Co Wealth Management Hong Kong Limited | RO | Type 4 — Advising on securities | 2015-11-06 | 2019-06-30 |
| Rothschild & Co Wealth Management Hong Kong Limited | Rep | Type 1 — Dealing in securities | 2015-10-29 | 2015-11-06 |
| Rothschild & Co Wealth Management Hong Kong Limited | Rep | Type 4 — Advising on securities | 2015-10-29 | 2015-11-06 |
| BHI Investment Advisors (Asia) Limited |
RO | Type 1 — Dealing in securities | 2011-01-04 | 2015-10-07 |
| BHI Investment Advisors (Asia) Limited |
RO | Type 4 — Advising on securities | 2011-01-04 | 2015-10-07 |
| HSBC Trinkaus Investment Management Limited |
RO | Type 1 — Dealing in securities | 2005-06-02 | 2010-11-08 |
| HSBC Trinkaus Investment Management Limited |
RO | Type 4 — Advising on securities | 2003-08-01 | 2010-11-08 |
| HSBC Trinkaus Investment Management Limited |
Rep | Type 4 — Advising on securities | present | 2003-08-01 |
| HSBC Trinkaus Investment Management Limited |
Rep | Type 6 — Advising on corporate finance | present | 2003-06-10 |
| HSBC Trinkaus Investment Management Limited |
Rep | Type 9 — Asset management | present | 2003-06-10 |