Au, Shuk Yan 區淑炘 SFC Licences and HKMA Registrations (ID 2701065)

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
Oaktree Capital (Hong Kong) Limited	Rep	Advising on securities	2020-06-11	-
	Rep	Dealing in securities	2020-06-11	-
HSBC Corporate Finance (Hong Kong) Limited	Rep	Advising on corporate finance	2017-02-24	2020-04-30

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.