Tat Sang Au
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Tat Sang Au (區達生), a licensed Responsible Officer with CE reference ACW368. Currently licensed at 1 firm(s): SinoPac Securities (Asia) Limited . Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts; Type 4 - Advising on securities; Type 9 - Asset management. This person has 23.1 years of SFC licence history. Total licence records on file: 25.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
RO | Type 9 - Asset management | 2022-10-13 | present |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
Rep | Type 4 - Advising on securities | 2017-02-13 | present |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
RO | Type 1 - Dealing in securities | 2017-02-13 | present |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
RO | Type 2 - Dealing in futures contracts | 2017-02-13 | present |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
Rep | Type 9 - Asset management | 2017-02-13 | 2022-10-13 |
| Tung Shing Securities (Brokers) Limited 東盛證券(經紀)有限公司 |
RO | Type 1 - Dealing in securities | 2016-10-11 | 2017-02-12 |
| Tung Shing Futures (Brokers) Limited 東盛期貨(經紀)有限公司 |
RO | Type 2 - Dealing in futures contracts | 2016-10-11 | 2017-02-12 |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2013-05-21 | 2017-02-12 |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
Rep | Type 1 - Dealing in securities | 2011-10-31 | 2017-02-12 |
| SinoPac Futures (Asia) Limited 永豐金期貨(亞洲)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2011-10-31 | 2014-03-31 |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
Rep | Type 4 - Advising on securities | 2011-10-31 | 2017-02-12 |
| SinoPac Securities (Asia) Limited 永豐金證券(亞洲)有限公司 |
Rep | Type 9 - Asset management | 2011-10-31 | 2017-02-12 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 3 - Leveraged foreign exchange trading | 2010-09-22 | 2011-10-05 |
| Haitong International Securities Company Limited 海通國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2010-04-15 | 2011-10-05 |
| Haitong International Futures Limited 海通國際期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2010-04-15 | 2011-10-05 |
| Hai Tong Securities (HK) Brokerage Limited 海通證券(香港)經紀有限公司 |
Rep | Type 1 - Dealing in securities | 2008-09-08 | 2011-05-03 |
| Hai Tong Securities (HK) Brokerage Limited 海通證券(香港)經紀有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2008-09-08 | 2011-05-03 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2005-10-13 | 2008-07-01 |
| BOCI Securities Limited 中銀國際證券有限公司 |
Rep | Type 1 - Dealing in securities | 2004-10-21 | 2008-07-01 |
| BOCI Commodities & Futures Limited 中銀國際期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2004-10-21 | 2008-07-01 |
| TIS Securities (HK) Limited 金鼎綜合證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2004-02-09 |
| TIS Securities (HK) Limited 金鼎綜合證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2004-02-09 |
| TIS Securities (HK) Limited 金鼎綜合證券(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2004-10-07 |
| TIS Securities (HK) Limited 金鼎綜合證券(香港)有限公司 |
Rep | Type 7 - Providing automated trading services | Pre-2003 | 2004-02-09 |
| TIS Securities (HK) Limited 金鼎綜合證券(香港)有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-10-07 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Tat Sang 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.