Andrew Au
歐子健
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Andrew Au (歐子健), a licensed former licensee with CE reference AGA691. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2021-04-16 | 2021-09-17 |
| Schroder & Co. (Hong Kong) Limited 施羅德財富管理有限公司 |
Rep | Type 1 — Dealing in securities | 2017-01-23 | 2020-04-14 |
| Schroder & Co. (Hong Kong) Limited 施羅德財富管理有限公司 |
Rep | Type 4 — Advising on securities | 2017-01-23 | 2020-04-14 |
| Schroder & Co. (Hong Kong) Limited 施羅德財富管理有限公司 |
Rep | Type 9 — Asset management | 2014-11-28 | 2020-04-14 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2005-01-20 | 2010-03-22 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2005-01-20 | 2010-03-22 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2003-05-29 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-05-29 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-05-29 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2003-05-29 |