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AU Kim Fung

區劍峯
CE AAI313Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

AU Kim Fung (CE number AAI313) is an individual licensed by the Hong Kong SFC. First licensed on 2003-04-01. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 9 (Asset management). Currently a responsible officer at 2 firms.

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerLuk Fook Futures (HK) Limited
六福期貨(香港)有限公司
Responsible OfficerLuk Fook Securities (HK) Limited
六福證券(香港)有限公司

Licence Record (7)

2012-02-06 – present Current
Luk Fook Securities (HK) Limited RO
RA 1 RA 4 RA 9
2012-02-06 – present Current
Luk Fook Futures (HK) Limited RO
RA 2
2017-01-04 – 2020-06-05
Luk Fook Asset Management (HK) Limited RO
RA 9
2005-10-20 – 2011-11-15
RHB Futures Hong Kong Limited Rep
RA 2
2005-09-07 – 2011-11-15
RHB Securities Hong Kong Limited RO
RA 1
2003-04-01 – 2005-09-01
UOB Kay Hian Futures (Hong Kong) Limited Rep
RA 2
2003-04-01 – 2005-09-01
UOB Kay Hian (Hong Kong) Limited RO
RA 1

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/AAI313