Au, Ho Ki 歐浩基
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | CES Commodities (HK) Limited | Rep | Dealing in futures contracts | 2015-06-22 | 2016-10-15 |
| 2 | CHIEF SECURITIES LIMITED | Rep | Dealing in securities | 2010-12-20 | 2013-09-28 |
| 3 | Everbright Securities Investment Services (HK) Limited | Rep | Dealing in securities | 2015-03-18 | 2016-10-15 |
| 4 | Gentleman Capital Limited | Rep | Asset management | 2021-06-03 | 2022-02-28 |
| 5 | OnePlatform Asset Management Limited | Rep | Advising on securities | 2008-01-14 | 2009-03-25 |
| 6 | SUNHIGH FINANCIAL HOLDINGS LIMITED | Rep | Asset management | 2022-03-23 | 2024-01-18 | Rep | Advising on securities | 2022-05-03 | 2023-05-23 | Rep | Dealing in securities | 2022-05-03 | 2023-05-23 | RO | Advising on securities | 2023-05-23 | RO | Dealing in securities | 2023-05-23 | RO | Asset management | 2024-01-18 |
| 7 | UOB KAY HIAN (HONG KONG) LIMITED | Rep | Dealing in securities | 2016-10-25 | 2021-03-25 |
| 8 | UOB KAY HIAN FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2016-10-25 | 2021-03-25 |
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