Ka Yee Au
區嘉兒
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ka Yee Au (區嘉兒), a licensed former licensee with CE reference ANU162. Total licence records on file: 4.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| HSBC Securities Brokers (Asia) Limited 滙豐證券經紀(亞洲)有限公司 |
Rep | Type 1 — Dealing in securities | 2012-07-04 | 2013-10-01 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 7 — Providing automated trading services | 2010-03-10 | 2012-01-10 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 6 — Advising on corporate finance | 2007-05-11 | 2008-09-01 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2006-10-06 | 2012-01-10 |