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AU Tin Wai

區天偉
CE AJF371Licensed IndividualSFO licence active
Official SFC record

AU Tin Wai (CE number AJF371) is an individual licensed by the Hong Kong SFC. First licensed on 2003-12-15. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 5 (Advising on futures), Type 7 (Automated trading).

Regulated Activities (on record) (5)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts
RA 7 Providing Automated Trading Services

Roles & Accreditations (1)

CapacityCompany / Institution
RepresentativeCitigroup Global Markets Asia Limited
花旗環球金融亞洲有限公司

Licence Record (9)

2021-08-13 – present Current
Citigroup Global Markets Asia Limited Rep
RA 1 RA 2 RA 7
2020-09-30 – 2021-07-16
Macquarie Asia Securities Limited Rep
RA 1
2014-10-06 – 2021-07-16
Macquarie Capital Limited RO
RA 1 RA 7
2013-01-14 – 2014-10-06
Macquarie Capital Limited Rep
RA 1 RA 7
2012-07-03 – 2012-11-16
CGS International Securities Hong Kong Limited Rep
RA 1
2009-09-04 – 2012-06-30
Credit Agricole Securities (Asia) Limited Rep
RA 1
2006-08-09 – 2009-07-23
J.P. Morgan Broking (Hong Kong) Limited Rep
RA 1 RA 2 RA 4 RA 5
2004-05-15 – 2006-07-06
Lehman Brothers Asia Limited Rep
RA 1
2003-12-15 – 2004-04-01
Goldman Sachs (Asia) L.L.C. Rep
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/AJF371