Chi Ming Au
歐智明
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Chi Ming Au (歐智明), a licensed former licensee with CE reference ARN601. This person has 3.9 years of SFC licence history. Total licence records on file: 10.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| South China Securities Limited 南華證券投資有限公司 |
Rep | Type 1 - Dealing in securities | 2015-10-29 | 2015-12-11 |
| South China Research Limited 南華資料研究有限公司 |
Rep | Type 4 - Advising on securities | 2015-10-29 | 2015-12-11 |
| South China Capital Limited 南華融資有限公司 |
Rep | Type 6 - Advising on corporate finance | 2015-10-29 | 2015-12-11 |
| VMS Securities Limited 鼎珮證券有限公司 |
Rep | Type 4 - Advising on securities | 2013-10-07 | 2014-07-24 |
| VMS Securities Limited 鼎珮證券有限公司 |
Rep | Type 9 - Asset management | 2013-10-07 | 2014-07-24 |
| Oriental Patron Securities Limited 東英亞洲證券有限公司 |
Rep | Type 4 - Advising on securities | 2011-09-19 | 2011-10-31 |
| Absolute Investment Management (HK) Limited 寶橋投資管理有限公司 |
Rep | Type 4 - Advising on securities | 2010-11-15 | 2011-07-22 |
| Absolute Investment Management (HK) Limited 寶橋投資管理有限公司 |
Rep | Type 9 - Asset management | 2010-11-15 | 2011-07-22 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
Rep | Type 4 - Advising on securities | 2009-09-16 | 2010-10-27 |
| Southwest Securities (HK) Asset Management Limited 西證(香港)資產管理有限公司 |
Rep | Type 4 - Advising on securities | 2008-08-26 | 2009-09-10 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Chi Ming 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.