Kwan Lok Au
歐君樂
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kwan Lok Au (歐君樂), a licensed Responsible Officer with CE reference AMM284. Currently licensed at 1 firm(s): Garvis Capital Management Limited. Active regulated activities: Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 24.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Garvis Capital Management Limited 瑞羚資本管理有限公司 |
RO | Type 4 — Advising on securities | 2024-04-10 | present |
| Garvis Capital Management Limited 瑞羚資本管理有限公司 |
RO | Type 9 — Asset management | 2024-04-10 | present |
| One Heritage Capital Management Limited 太一資本管理有限公司 |
Rep | Type 4 — Advising on securities | 2024-02-08 | 2024-03-13 |
| One Heritage Capital Management Limited 太一資本管理有限公司 |
Rep | Type 9 — Asset management | 2024-02-08 | 2024-03-13 |
| One Heritage Capital Management Limited 太一資本管理有限公司 |
RO | Type 4 — Advising on securities | 2020-05-12 | 2024-02-08 |
| One Heritage Capital Management Limited 太一資本管理有限公司 |
RO | Type 9 — Asset management | 2020-05-12 | 2024-02-08 |
| Hao Tian International Futures Limited 昊天國際期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2020-03-23 | 2020-04-16 |
| Hao Tian International Securities Limited 昊天國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2020-02-24 | 2020-04-16 |
| Hao Tian Asset Management Limited 昊天資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2020-02-24 | 2020-04-16 |
| Hao Tian Asset Management Limited 昊天資產管理有限公司 |
Rep | Type 9 — Asset management | 2020-02-24 | 2020-04-16 |
| Hao Tian International Securities Limited 昊天國際證券有限公司 |
RO | Type 1 — Dealing in securities | 2019-09-16 | 2020-02-24 |
| Hao Tian Asset Management Limited 昊天資產管理有限公司 |
RO | Type 4 — Advising on securities | 2019-09-16 | 2020-02-24 |
| Hao Tian International Futures Limited 昊天國際期貨有限公司 |
RO | Type 2 — Dealing in futures contracts | 2019-07-05 | 2020-03-23 |
| Hao Tian Asset Management Limited 昊天資產管理有限公司 |
RO | Type 9 — Asset management | 2019-07-05 | 2020-02-24 |
| Hao Tian Asset Management Limited 昊天資產管理有限公司 |
Rep | Type 9 — Asset management | 2019-06-19 | 2019-07-05 |
| Avenue Family Office Limited 道信家族辦公室有限公司 |
Rep | Type 1 — Dealing in securities | 2017-05-15 | 2019-06-01 |
| Avenue Family Office Limited 道信家族辦公室有限公司 |
Rep | Type 4 — Advising on securities | 2017-05-15 | 2019-06-01 |
| Avenue Family Office Limited 道信家族辦公室有限公司 |
Rep | Type 9 — Asset management | 2017-05-15 | 2019-06-01 |
| Avenue Asset Management Limited 道信資產管理有限公司 |
Rep | Type 4 — Advising on securities | 2015-10-05 | 2019-06-04 |
| Avenue Asset Management Limited 道信資產管理有限公司 |
Rep | Type 9 — Asset management | 2015-10-05 | 2019-06-04 |
| CES Forex (HK) Limited 光證外匯（香港）有限公司 |
Rep | Type 3 — Leveraged foreign exchange trading | 2009-03-26 | 2015-10-01 |
| 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 | 2008-08-26 | 2015-10-01 |
| CES Commodities (HK) Limited 光證期貨（香港）有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2006-11-29 | 2015-10-01 |
| 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 | 2005-09-20 | 2015-10-01 |