Au, Tat Sang 區達生

Key Data SFC Licenses Public Disciplinary Actions

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
SINOPAC SECURITIES (ASIA) LIMITED	RO	Asset management	2022-10-13	-
	Rep	Advising on securities	2017-02-13	-
	RO	Dealing in futures contracts	2017-02-13	-
	RO	Dealing in securities	2017-02-13	-
	Rep	Asset management	2017-02-13	2022-10-13
Tung Shing Futures (Brokers) Limited	RO	Dealing in futures contracts	2016-10-11	2017-02-12
Tung Shing Securities (Brokers) Limited	RO	Dealing in securities	2016-10-11	2017-02-12
SINOPAC SECURITIES (ASIA) LIMITED	Rep	Dealing in futures contracts	2013-05-21	2017-02-12
SINOPAC FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2011-10-31	2014-03-31
SINOPAC SECURITIES (ASIA) LIMITED	Rep	Advising on securities	2011-10-31	2017-02-12
	Rep	Asset management	2011-10-31	2017-02-12
	Rep	Dealing in securities	2011-10-31	2017-02-12
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Leveraged foreign exchange trading	2010-09-22	2011-10-05
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2010-04-15	2011-10-05
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	Dealing in securities	2010-04-15	2011-10-05
HAI TONG SECURITIES (HK) BROKERAGE LIMITED	Rep	Dealing in futures contracts	2008-09-08	2011-05-03
	Rep	Dealing in securities	2008-09-08	2011-05-03
BOCI SECURITIES LIMITED	Rep	Dealing in futures contracts	2005-10-13	2008-07-01
BOCI COMMODITIES &AMP; FUTURES LIMITED	Rep	Dealing in futures contracts	2004-10-21	2008-07-01
BOCI SECURITIES LIMITED	Rep	Dealing in securities	2004-10-21	2008-07-01
TIS SECURITIES (HK) LIMITED	Rep	Advising on securities	2003-04-01	2004-02-09
	Rep	Providing automated trading services	2003-04-01	2004-02-09
	Rep	Dealing in securities	2003-04-01	2004-02-09
	Rep	Advising on corporate finance	2003-04-01	2004-10-07
	Rep	Asset management	2003-04-01	2004-10-07