Tai Chung Au
區大中
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Tai Chung Au (區大中), a licensed former licensee with CE reference AGO840. Total licence records on file: 21.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| SDIC Securities International Financial Holdings Limited 國投證券國際金融控股有限公司 |
RO | Type 1 — Dealing in securities | 2012-08-13 | 2014-09-15 |
| SDIC Securities Futures (Hong Kong) Limited 國投證券期貨（香港）有限公司 |
RO | Type 5 — Advising on futures contracts | 2012-08-13 | 2024-10-31 |
| SDIC Securities (Hong Kong) Limited 國投證券（香港）有限公司 |
RO | Type 1 — Dealing in securities | 2011-11-25 | 2024-10-31 |
| SDIC Securities Futures (Hong Kong) Limited 國投證券期貨（香港）有限公司 |
RO | Type 2 — Dealing in futures contracts | 2011-11-25 | 2024-10-31 |
| Capital Global Management Limited 瑞興全球財富管理有限公司 |
RO | Type 1 — Dealing in securities | 2010-08-13 | 2011-08-19 |
| Capital Global Management Limited 瑞興全球財富管理有限公司 |
RO | Type 4 — Advising on securities | 2010-08-13 | 2011-08-19 |
| Capital Global Management Limited 瑞興全球財富管理有限公司 |
RO | Type 1 — Dealing in securities | 2008-10-10 | 2010-05-20 |
| Capital Global Management Limited 瑞興全球財富管理有限公司 |
RO | Type 4 — Advising on securities | 2008-10-10 | 2010-05-20 |
| Capital Global Management Limited 瑞興全球財富管理有限公司 |
RO | Type 1 — Dealing in securities | 2006-06-21 | 2007-05-21 |
| Capital Global Management Limited 瑞興全球財富管理有限公司 |
RO | Type 4 — Advising on securities | 2006-06-21 | 2007-05-21 |
| Capital Global Management Limited 瑞興全球財富管理有限公司 |
Rep | Type 1 — Dealing in securities | 2006-06-01 | 2006-06-21 |
| CSC Futures (HK) Limited 群益期貨(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2003-12-29 | 2006-05-04 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2003-12-29 | 2006-05-04 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2006-05-04 |
| CSC Futures (HK) Limited 群益期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2003-12-29 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-10-30 |
| CSC Futures (HK) Limited 群益期貨(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2003-10-30 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-10-30 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-10-30 |
| CSC Futures (HK) Limited 群益期貨(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2003-10-30 |
| CSC Securities (HK) Limited 群益證券(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2003-10-30 |