Vincent Wing Yiu Au
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Vincent Wing Yiu Au (區永耀), a licensed Responsible Officer with CE reference BMT432. Currently licensed at 1 firm(s): ALPS Capital Management Limited. Active regulated activities: Type 1 - Dealing in securities; Type 4 - Advising on securities; Type 9 - Asset management. This person has 8.6 years of SFC licence history. Total licence records on file: 5.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| ALPS Capital Management Limited | RO | Type 4 - Advising on securities | 2019-05-29 | present |
| ALPS Capital Management Limited | RO | Type 9 - Asset management | 2019-05-29 | present |
| ALPS Capital Management Limited | Rep | Type 1 - Dealing in securities | 2018-04-17 | present |
| ALPS Capital Management Limited | Rep | Type 4 - Advising on securities | 2018-04-17 | 2019-05-29 |
| ALPS Capital Management Limited | Rep | Type 9 - Asset management | 2018-04-17 | 2019-05-29 |
Worked alongside
The 18 closest colleagues, strongest tie first — individuals licensed at the same firm as Vincent Wing Yiu 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.