Kwong Hoi Au
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kwong Hoi Au (區光海), a licensed Responsible Officer with CE reference ABM765. Currently licensed at 1 firm(s): Orient Securities Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 21.5 years of SFC licence history. Total licence records on file: 22.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Orient Securities Limited 東方匯財證券有限公司 |
RO | Type 1 - Dealing in securities | 2022-07-15 | present |
| Orient Securities Limited 東方匯財證券有限公司 |
RO | Type 4 - Advising on securities | 2022-07-15 | present |
| Orient Securities Limited 東方匯財證券有限公司 |
RO | Type 9 - Asset management | 2022-07-15 | present |
| Modern Innovative Securities Limited 新質證券有限公司 |
RO | Type 2 - Dealing in futures contracts | 2017-04-06 | 2020-12-18 |
| Modern Innovative Asset Management Limited 新質資產管理有限公司 |
RO | Type 4 - Advising on securities | 2017-04-03 | 2020-12-18 |
| Modern Innovative Asset Management Limited 新質資產管理有限公司 |
RO | Type 9 - Asset management | 2017-04-03 | 2020-12-18 |
| Modern Innovative Securities Limited 新質證券有限公司 |
RO | Type 1 - Dealing in securities | 2016-05-12 | 2020-12-18 |
| Sino-Rich Securities & Futures Limited 中順證券期貨有限公司 |
RO | Type 9 - Asset management | 2015-09-22 | 2016-05-06 |
| Sino-Rich Securities & Futures Limited 中順證券期貨有限公司 |
RO | Type 1 - Dealing in securities | 2011-01-18 | 2016-05-06 |
| Sino-Rich Securities & Futures Limited 中順證券期貨有限公司 |
RO | Type 2 - Dealing in futures contracts | 2010-11-17 | 2016-05-06 |
| Jimei Futures Limited 集美期貨有限公司 |
RO | Type 2 - Dealing in futures contracts | 2009-08-03 | 2010-07-30 |
| Jimei Securities Limited 集美證券有限公司 |
Rep | Type 1 - Dealing in securities | 2009-06-03 | 2010-07-30 |
| Jimei Futures Limited 集美期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2009-06-03 | 2009-08-03 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
Rep | Type 1 - Dealing in securities | 2005-10-05 | 2009-05-30 |
| RHB Futures Hong Kong Limited 興業金融期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2005-10-05 | 2009-05-30 |
| Wings Securities (HK) Limited 金鵬證券有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2005-10-04 |
| REXCAPITAL Futures Limited 御泰期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 2005-10-04 |
| Wings Securities (HK) Limited 金鵬證券有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-04-28 |
| REXCAPITAL Futures Limited 御泰期貨有限公司 |
Rep | Type 5 - Advising on futures contracts | Pre-2003 | 2004-04-28 |
| Wings Securities (HK) Limited 金鵬證券有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-04-28 |
| REXCAPITAL Futures Limited 御泰期貨有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-04-28 |
| Wings Securities (HK) Limited 金鵬證券有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-04-28 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Kwong Hoi Au during overlapping periods. Ranked by how long they overlapped and how similar their regulated activities were, with shared time at a smaller firm weighted more than at a large one. See the detailed formula.