Tik Sun Au
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Tik Sun Au (區廸新), a licensed Representative with CE reference BHS479. Currently licensed at 3 firm(s): Guotai Junan FX Limited, Guotai Junan Futures (Hong Kong) Limited, Guotai Junan Securities (Hong Kong) Limited. Active regulated activities: Type 1 - Dealing in securities; Type 2 - Dealing in futures contracts; Type 3 - Leveraged foreign exchange trading; Type 5 - Advising on futures contracts. This person has 9.5 years of SFC licence history. Total licence records on file: 14.
Information
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Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Guotai Junan FX Limited 國泰君安外匯有限公司 |
Rep | Type 3 - Leveraged foreign exchange trading | 2023-11-17 | present |
| Guotai Junan Futures (Hong Kong) Limited 國泰君安期貨(香港)有限公司 |
Rep | Type 5 - Advising on futures contracts | 2023-11-17 | present |
| Guotai Junan Securities (Hong Kong) Limited 國泰君安證券(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2023-04-28 | present |
| Guotai Junan Futures (Hong Kong) Limited 國泰君安期貨(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2023-04-28 | present |
| Soochow Securities International Brokerage Limited 東吳證券國際經紀有限公司 |
Rep | Type 1 - Dealing in securities | 2021-02-01 | 2023-04-16 |
| Soochow Securities International Futures Limited 東吳證券國際期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2021-02-01 | 2023-04-16 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 1 - Dealing in securities | 2020-12-17 | 2021-01-07 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2020-12-17 | 2021-01-07 |
| South China Securities Limited 南華證券投資有限公司 |
Rep | Type 1 - Dealing in securities | 2018-12-20 | 2020-11-21 |
| South China Commodities Limited 南華期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2018-12-20 | 2020-11-21 |
| RHB Securities Hong Kong Limited 興業金融證券有限公司 |
Rep | Type 1 - Dealing in securities | 2018-07-24 | 2018-12-10 |
| RHB Futures Hong Kong Limited 興業金融期貨有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2018-07-24 | 2018-12-10 |
| Bright Smart Futures & Commodities Company Limited 耀才期貨及商品有限公司 |
Rep | Type 2 - Dealing in futures contracts | 2016-09-15 | 2018-03-07 |
| Bright Smart Securities International (H.K.) Limited 耀才證券國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2016-07-05 | 2018-03-07 |
Worked alongside
The 20 closest colleagues, strongest tie first — individuals licensed at the same firm as Tik Sun 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.