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. This person has 11.1 years of SFC licence history. Total licence records on file: 10.
Information
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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 | Pre-2003 | 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 | Pre-2003 | 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 | Pre-2003 | 2003-05-29 |
| Standard Chartered Securities (Hong Kong) Limited 渣打證券(香港)有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2003-05-29 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Andrew 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.