Karic Sze Dat Au
區士達
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Karic Sze Dat Au (區士達), a licensed former licensee with CE reference AAG277. This person has 14.0 years of SFC licence history. Total licence records on file: 9.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2004-11-22 | 2017-03-29 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 5 - Advising on futures contracts | 2004-11-22 | 2017-03-29 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2017-03-29 |
| RBC Futures Services (Asia) Limited | Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 2005-09-30 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2017-03-29 |
| RBC Futures Services (Asia) Limited | Rep | Type 5 - Advising on futures contracts | Pre-2003 | 2005-09-30 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-02-17 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-02-17 |
| RBC Futures Services (Asia) Limited | Rep | Type 9 - Asset management | Pre-2003 | 2003-06-18 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Karic Sze Dat 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.