Tin Wai Au
區天偉
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Tin Wai Au (區天偉), CE reference AJF371. Currently licensed at 1 firm(s): Citigroup Global Markets Asia Limited. Total licence records on file: 16.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2021-09-30 | present |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2021-08-13 | present |
| Citigroup Global Markets Asia Limited 花旗環球金融亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | 2021-08-13 | present |
| Macquarie Asia Securities Limited |
Rep | Type 1 — Dealing in securities | 2020-09-30 | 2021-07-16 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
RO | Type 1 — Dealing in securities | 2014-10-06 | 2021-07-16 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
RO | Type 7 — Providing automated trading services | 2014-10-06 | 2021-07-16 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 7 — Providing automated trading services | 2013-07-25 | 2014-10-06 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 — Dealing in securities | 2013-01-14 | 2014-10-06 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
Rep | Type 1 — Dealing in securities | 2012-07-03 | 2012-11-16 |
| Credit Agricole Securities (Asia) Limited 東方匯理證券(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2009-09-04 | 2012-06-30 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2006-08-28 | 2009-07-23 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2006-08-28 | 2009-07-23 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 5 — Advising on futures contracts | 2006-08-28 | 2009-07-23 |
| J.P. Morgan Broking (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2006-08-09 | 2009-07-23 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 1 — Dealing in securities | 2004-05-15 | 2006-07-06 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 |
Rep | Type 1 — Dealing in securities | 2003-12-15 | 2004-04-01 |