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ZAU Ai Wei, Audrey

曹靄為
CE ADS448Licensed IndividualSFO licence active
Official SFC record

ZAU Ai Wei, Audrey (CE number ADS448) 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 6 (Corporate finance), Type 9 (Asset management).

Regulated Activities (on record) (4)

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

Roles & Accreditations (1)

CapacityCompany / Institution
RepresentativeLombard Odier (Hong Kong) Limited
瑞士隆奧(香港)有限公司

Licence Record (6)

2019-07-18 – present Current
Lombard Odier (Hong Kong) Limited Rep
RA 1 RA 4
2015-11-06 – 2019-06-30
Rothschild & Co Wealth Management Hong Kong Limited RO
RA 1 RA 4
2015-10-29 – 2015-11-06
Rothschild & Co Wealth Management Hong Kong Limited Rep
RA 1 RA 4
2011-01-04 – 2015-10-07
BHI Investment Advisors (Asia) Limited RO
RA 1 RA 4
2003-08-01 – 2010-11-08
HSBC Trinkaus Investment Management Limited RO
RA 1 RA 4
2003-04-01 – 2003-08-01
HSBC Trinkaus Investment Management Limited Rep
RA 4 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/ADS448