Kai Yuen Au
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kai Yuen Au (區啟源), a licensed Representative with CE reference AEM919. Currently licensed at 1 firm(s): China Securities (International) Brokerage Company Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts; Type 4 - Advising on securities. This person has 23.1 years of SFC licence history. Total licence records on file: 22.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| China Securities (International) Brokerage Company Limited 中信建投(國際)証券有限公司 |
Rep | Type 1 - Dealing in securities | 2017-09-26 | present |
| China Securities (International) Brokerage Company Limited 中信建投(國際)証券有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2017-09-26 | present |
| China Securities (International) Brokerage Company Limited 中信建投(國際)証券有限公司 |
Rep | Type 4 - Advising on securities | 2017-09-26 | present |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2015-05-18 | 2017-09-05 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2015-05-18 | 2017-09-05 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2013-09-10 | 2015-05-05 |
| CSC Futures (HK) Limited 群益期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2013-09-10 | 2015-05-05 |
| CITIC Securities Brokerage (HK) Limited 中信証券經紀(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2005-07-04 | 2013-07-08 |
| CITIC Securities Futures (HK) Limited 中信証券期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2005-07-04 | 2013-07-08 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2005-07-04 |
| Core Pacific-Yamaichi Securities (H.K.) Limited 京華山一證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2005-07-04 |
| Core Pacific-Yamaichi Futures (H.K.) Limited 京華山一期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 2005-07-04 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-06-25 |
| Core Pacific-Yamaichi Securities (H.K.) Limited 京華山一證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-06-25 |
| Core Pacific-Yamaichi Futures (H.K.) Limited 京華山一期貨(香港)有限公司 |
Rep | Type 5 - Advising on futures contracts | Pre-2003 | 2004-06-25 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-06-25 |
| Core Pacific-Yamaichi Securities (H.K.) Limited 京華山一證券(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-06-25 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 |
Rep | Type 7 - Providing automated trading services | Pre-2003 | 2004-06-25 |
| Core Pacific-Yamaichi Securities (H.K.) Limited 京華山一證券(香港)有限公司 |
Rep | Type 7 - Providing automated trading services | Pre-2003 | 2004-06-25 |
| Core Pacific - Yamaichi International (H.K.) Limited 京華山一國際(香港)有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-06-25 |
| Core Pacific-Yamaichi Futures (H.K.) Limited 京華山一期貨(香港)有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-06-25 |
| Core Pacific-Yamaichi Securities (H.K.) Limited 京華山一證券(香港)有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-06-25 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Kai Yuen 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.