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. This person has 6.5 years of SFC licence history. Total licence records on file: 4.
Information
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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 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Ka Yee 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.