Yiu Fai Au
區耀輝
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Yiu Fai Au (區耀輝), a licensed Responsible Officer with CE reference AFJ091. Currently licensed at 1 firm(s): Hong Kong Haisheng Securities Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 32.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Hong Kong Haisheng Securities Limited 香港海升證券有限公司 |
RO | Type 1 — Dealing in securities | 2025-04-15 | present |
| Hong Kong Haisheng Securities Limited 香港海升證券有限公司 |
RO | Type 4 — Advising on securities | 2025-04-15 | present |
| Hong Kong Haisheng Securities Limited 香港海升證券有限公司 |
RO | Type 9 — Asset management | 2025-04-15 | present |
| Original Group Securities Limited 原創集團證券有限公司 |
RO | Type 1 — Dealing in securities | 2022-06-23 | 2024-07-19 |
| PSG Digital Asia Limited | RO | Type 4 — Advising on securities | 2022-06-23 | 2024-07-19 |
| PSG Digital Asia Limited | RO | Type 9 — Asset management | 2022-06-23 | 2024-07-19 |
| Bluemount Securities Limited 藍山證券有限公司 |
RO | Type 1 — Dealing in securities | 2021-08-16 | 2022-05-08 |
| Bluemount Securities Limited 藍山證券有限公司 |
RO | Type 4 — Advising on securities | 2021-08-16 | 2022-05-08 |
| Bluemount Asset Management Limited 藍山資產管理有限公司 |
RO | Type 9 — Asset management | 2021-08-16 | 2022-05-08 |
| Entersys Asset Management Hong Kong Limited 進激資產管理香港有限公司 |
RO | Type 4 — Advising on securities | 2020-07-17 | 2021-05-16 |
| Entersys Asset Management Hong Kong Limited 進激資產管理香港有限公司 |
RO | Type 9 — Asset management | 2020-07-17 | 2021-05-16 |
| Entersys Asset Management Hong Kong Limited 進激資產管理香港有限公司 |
Rep | Type 4 — Advising on securities | 2020-06-30 | 2020-07-17 |
| Entersys Asset Management Hong Kong Limited 進激資產管理香港有限公司 |
Rep | Type 9 — Asset management | 2020-06-30 | 2020-07-17 |
| Canfield Securities Company Limited 勤豐證券有限公司 |
RO | Type 4 — Advising on securities | 2018-11-22 | 2020-05-31 |
| Canfield Securities Company Limited 勤豐證券有限公司 |
RO | Type 9 — Asset management | 2018-11-22 | 2020-05-31 |
| Sino Wealth Asset Management Limited 國新資產管理有限公司 |
RO | Type 4 — Advising on securities | 2017-01-03 | 2018-07-03 |
| Sino Wealth Asset Management Limited 國新資產管理有限公司 |
RO | Type 9 — Asset management | 2017-01-03 | 2018-07-03 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2015-11-23 | 2016-03-04 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2015-11-23 | 2016-02-29 |
| CITIC Securities Asset Management (HK) Limited 中信證券資產管理(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2015-02-10 | 2016-03-04 |
| CITIC Securities Asset Management (HK) Limited 中信證券資產管理(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2014-07-09 | 2016-03-04 |
| CITIC Securities Asset Management (HK) Limited 中信證券資產管理(香港)有限公司 |
Rep | Type 9 — Asset management | 2014-07-09 | 2016-03-04 |
| Guotai Junan Assets (Asia) Limited 國泰君安資產管理(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2011-06-07 | 2014-07-01 |
| Guotai Junan Assets (Asia) Limited 國泰君安資產管理(亞洲)有限公司 |
Rep | Type 4 — Advising on securities | 2011-06-07 | 2014-07-01 |
| Guotai Junan Assets (Asia) Limited 國泰君安資產管理(亞洲)有限公司 |
Rep | Type 9 — Asset management | 2011-06-07 | 2014-07-01 |
| BaoQiao Partners Capital Limited 寶橋融資有限公司 |
Rep | Type 1 — Dealing in securities | 2010-12-02 | 2011-02-15 |
| BaoQiao Partners Capital Limited 寶橋融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2010-12-02 | 2011-02-15 |
| Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司 |
Rep | Type 4 — Advising on securities | 2008-07-11 | 2010-09-04 |
| CES Commodities (HK) Limited 光證期貨（香港）有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2008-05-13 | 2010-09-04 |
| Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司 |
Rep | Type 1 — Dealing in securities | 2008-03-25 | 2010-09-04 |
| Pegasus Fund Managers Limited 東驥基金管理有限公司 |
Rep | Type 4 — Advising on securities | present | 2008-03-01 |
| Pegasus Fund Managers Limited 東驥基金管理有限公司 |
Rep | Type 9 — Asset management | present | 2008-03-01 |