Stephen Wai Ming Au
區偉明
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Stephen Wai Ming Au (區偉明), a licensed former licensee with CE reference AGV321. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Wachovia Advisors International Limited |
Rep | Type 4 — Advising on securities | 2008-04-14 | 2009-06-02 |
| Wachovia Advisors International Limited |
Rep | Type 9 — Asset management | 2008-04-14 | 2009-06-02 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 4 — Advising on securities | present | 2005-09-10 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-08-11 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 9 — Asset management | present | 2003-08-11 |