Unofficial — this is NOT the SFC. Independent site, not affiliated with the Securities and Futures Commission of Hong Kong. All information is compiled from SFC, HKMA and other public regulatory records and is for reference only — verify on the official SFC website before relying on it.
SFC Radar
中文 ← Back to search

AU Kin Tak

區建德
CE ANQ975Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

AU Kin Tak (CE number ANQ975) is an individual licensed by the Hong Kong SFC. First licensed on 2006-09-05. 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 OfficerJakota Asset Management Limited
嘉高達資產管理有限公司
Responsible OfficerJakota Securities Group Limited
嘉高達證券集團有限公司

Licence Record (9)

2025-03-14 – present Current
Jakota Asset Management Limited RO
RA 9
2017-11-03 – present Current
Jakota Securities Group Limited RO
RA 1 RA 4
2015-04-02 – 2017-11-03
Jakota Securities Group Limited Rep
RA 1 RA 4
2014-12-29 – 2015-03-27
KVB Kunlun Asset Management (HK) Limited Rep
RA 4 RA 9
2014-06-19 – 2015-03-27
KVB Kunlun Securities (HK) Limited Rep
RA 1
2009-01-21 – 2014-06-01
RHB Securities Hong Kong Limited Rep
RA 1 RA 4
2009-01-21 – 2014-06-01
RHB Futures Hong Kong Limited Rep
RA 2
2006-10-05 – 2009-01-13
Southwest Securities (HK) Brokerage Limited Rep
RA 1
2006-09-05 – 2009-01-13
Southwest Securities (HK) Futures Limited Rep
RA 2

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/ANQ975