Shuk Yan Au
區淑炘
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Shuk Yan Au (區淑炘), a licensed Representative with CE reference BIZ311. Currently licensed at 1 firm(s): Oaktree Capital (Hong Kong) Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities. Total licence records on file: 3.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Oaktree Capital (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2020-06-11 | present |
| Oaktree Capital (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2020-06-11 | present |
| HSBC Corporate Finance (Hong Kong) Limited | Rep | Type 6 — Advising on corporate finance | 2017-02-24 | 2020-04-30 |