Tat H Au Yeung
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Tat H Au Yeung (歐陽達顯), a licensed Responsible Officer with CE reference AFZ713. Currently licensed at 1 firm(s): AD Capital Management (Hong Kong) Limited. Active regulated activities: Type 4 - Advising on securities; Type 5 - Advising on futures contracts; Type 9 - Asset management. This person has 23.0 years of SFC licence history. Total licence records on file: 15.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| AD Capital Management (Hong Kong) Limited 豐盛資產管理(香港)有限公司 |
RO | Type 4 - Advising on securities | 2004-09-08 | present |
| AD Capital Management (Hong Kong) Limited 豐盛資產管理(香港)有限公司 |
RO | Type 5 - Advising on futures contracts | 2004-09-08 | present |
| AD Capital Management (Hong Kong) Limited 豐盛資產管理(香港)有限公司 |
RO | Type 9 - Asset management | 2004-09-08 | present |
| HSBC Corporate Finance (Hong Kong) Limited | RO | Type 2 - Dealing in futures contracts | 2003-09-05 | 2004-01-15 |
| HSBC Securities (Asia) Limited | RO | Type 1 - Dealing in securities | Pre-2003 | 2004-01-15 |
| HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 |
RO | Type 1 - Dealing in securities | Pre-2003 | 2004-01-15 |
| HSBC Structured Funds (Asia) Limited | RO | Type 2 - Dealing in futures contracts | Pre-2003 | 2003-09-05 |
| HSBC Securities (Asia) Limited | RO | Type 4 - Advising on securities | Pre-2003 | 2003-09-05 |
| HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 |
RO | Type 4 - Advising on securities | Pre-2003 | 2003-09-05 |
| HSBC Structured Funds (Asia) Limited | RO | Type 5 - Advising on futures contracts | Pre-2003 | 2003-09-05 |
| HSBC Securities (Asia) Limited | RO | Type 6 - Advising on corporate finance | Pre-2003 | 2003-09-05 |
| HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 |
RO | Type 6 - Advising on corporate finance | Pre-2003 | 2003-09-05 |
| HSBC Securities (Asia) Limited | RO | Type 9 - Asset management | Pre-2003 | 2003-09-05 |
| HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 |
RO | Type 9 - Asset management | Pre-2003 | 2003-09-05 |
| HSBC Structured Funds (Asia) Limited | RO | Type 9 - Asset management | Pre-2003 | 2003-09-05 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Tat H Au Yeung 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.