Francis Kwok Yu Au
區國譽
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Francis Kwok Yu Au (區國譽), a licensed former licensee with CE reference ADB037. This person has 13.0 years of SFC licence history. Total licence records on file: 10.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| China Renaissance Securities (Hong Kong) Limited 華興證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2015-06-22 | 2016-09-27 |
| China Renaissance Securities (Hong Kong) Limited 華興證券(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2015-06-22 | 2016-09-27 |
| China Renaissance Securities (Hong Kong) Limited 華興證券(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2015-06-22 | 2016-09-27 |
| China Renaissance Securities (Hong Kong) Limited 華興證券(香港)有限公司 |
RO | Type 1 - Dealing in securities | 2012-10-24 | 2015-06-22 |
| China Renaissance Securities (Hong Kong) Limited 華興證券(香港)有限公司 |
RO | Type 4 - Advising on securities | 2012-10-24 | 2015-06-22 |
| China Renaissance Securities (Hong Kong) Limited 華興證券(香港)有限公司 |
RO | Type 6 - Advising on corporate finance | 2012-10-24 | 2015-06-22 |
| Xeram and Company (Asia) Limited | RO | Type 1 - Dealing in securities | 2011-07-08 | 2012-04-30 |
| Xeram and Company (Asia) Limited | RO | Type 4 - Advising on securities | 2007-03-28 | 2012-04-30 |
| Xeram and Company (Asia) Limited | RO | Type 6 - Advising on corporate finance | 2004-05-31 | 2012-04-30 |
| Xeram and Company (Asia) Limited | Rep | Type 4 - Advising on securities | Pre-2003 | 2007-03-28 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Francis Kwok Yu 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.