Jacqueline Wing-Kay Au
區穎琪
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Jacqueline Wing-Kay Au (區穎琪), a licensed former licensee with CE reference ARV613. Total licence records on file: 7.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Daiwa SB Investments (HK) Limited 大和住銀投信投資顧問(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2011-09-12 | 2016-07-15 |
| Daiwa SB Investments (HK) Limited 大和住銀投信投資顧問(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2011-09-12 | 2016-07-15 |
| Daiwa SB Investments (HK) Limited 大和住銀投信投資顧問(香港)有限公司 |
Rep | Type 9 — Asset management | 2011-09-12 | 2016-07-15 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2009-10-12 | 2011-08-26 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 5 — Advising on futures contracts | 2009-10-12 | 2011-08-26 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 1 — Dealing in securities | 2008-11-06 | 2011-08-26 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 4 — Advising on securities | 2008-11-06 | 2011-08-26 |