Siu Fai Au
區肇輝
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Siu Fai Au (區肇輝), a licensed Representative with CE reference AFS999. Currently licensed at 1 firm(s): Barclays Capital Asia Limited. Active regulated activities: Type 1 — Dealing in securities; Type 2 — Dealing in futures contracts. Total licence records on file: 9.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2020-03-13 | present |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2020-03-04 | present |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
RO | Type 9 — Asset management | 2015-08-31 | 2017-07-12 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2013-12-23 | 2020-01-17 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2013-12-23 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-12-16 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-09-01 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2004-09-01 |
| SG Securities (HK) Limited 法國興業證券(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2003-12-16 |