Wing Ting Au
歐永定
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Wing Ting Au (歐永定), a licensed former licensee with CE reference ADN974. Total licence records on file: 15.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Phillip Securities (Hong Kong) Limited 輝立證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2022-06-17 | 2024-02-23 |
| Phillip Commodities (HK) Limited 輝立商品(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2022-06-17 | 2024-02-23 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 4 — Advising on securities | 2006-07-04 | 2022-03-01 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 1 — Dealing in securities | 2006-07-01 | 2022-03-01 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2006-07-01 | 2022-03-01 |
| RBC Investment Services (Asia) Limited 加皇投資理財有限公司 |
Rep | Type 5 — Advising on futures contracts | 2006-07-01 | 2022-03-01 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2005-09-30 | 2006-06-17 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 5 — Advising on futures contracts | 2005-09-30 | 2006-06-17 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 1 — Dealing in securities | present | 2006-06-17 |
| Jefferies Bache (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | present | 2005-10-04 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-05-17 |
| Jefferies Bache (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | present | 2004-05-17 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-05-17 |
| FT Securities Limited 富通證券有限公司 |
Rep | Type 9 — Asset management | present | 2004-05-17 |
| Jefferies Bache (Hong Kong) Limited | Rep | Type 9 — Asset management | present | 2004-05-17 |