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AU Yu Ching

區裕正
CE ABT384Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

AU Yu Ching (CE number ABT384) 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 4 (Advising on securities), Type 5 (Advising on futures), Type 6 (Corporate finance), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (5)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts
RA 6 Advising on Corporate Finance
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerAsset Management Group Limited
資產管理集團有限公司

Licence Record (10)

2024-12-18 – present Current
Asset Management Group Limited RO
RA 4 RA 9
2018-11-14 – 2023-06-30
AIA Investment Management HK Limited RO
RA 4 RA 9
2007-09-11 – 2011-03-01
Baring Asset Management (Asia) Limited RO
RA 4 RA 5 RA 9
2007-08-14 – 2011-03-01
Baring Asset Management (Asia) Limited Rep
RA 1 RA 4 RA 5 RA 9
2004-08-30 – 2007-08-01
Hamon Asian Advisors Limited RO
RA 4 RA 9
2004-08-30 – 2007-08-01
Hamon Asset Management Limited RO
RA 4 RA 5 RA 9
2004-08-30 – 2007-08-01
PFP Capital Limited RO
RA 4 RA 5 RA 9
2003-09-18 – 2004-08-30
Hamon Asian Advisors Limited Rep
RA 4 RA 9
2003-04-01 – 2004-08-30
Hamon Asset Management Limited Rep
RA 4 RA 5 RA 6 RA 9
2003-04-01 – 2004-08-30
PFP Capital Limited Rep
RA 4 RA 5 RA 6 RA 9

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/ABT384