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AU YEUNG Man

歐陽敏
CE AQD598Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

AU YEUNG Man (CE number AQD598) is an individual licensed by the Hong Kong SFC. First licensed on 2007-12-11. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 3 (Leveraged FX), Type 4 (Advising on securities), Type 5 (Advising on futures). Currently a responsible officer at 3 firms.

Regulated Activities (on record) (5)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 3 Leveraged Foreign Exchange Trading
RA 4 Advising on Securities
RA 5 Advising on Futures Contracts

Roles & Accreditations (3)

CapacityCompany / Institution
Responsible OfficerShenwan Hongyuan Futures (H.K.) Limited
申萬宏源期貨(香港)有限公司
Responsible OfficerShenwan Hongyuan Research (H.K.) Limited
申萬宏源研究(香港)有限公司
Responsible OfficerShenwan Hongyuan Securities (H.K.) Limited
申萬宏源證券(香港)有限公司

Licence Record (20)

2023-10-12 – present Current
Shenwan Hongyuan Research (H.K.) Limited RO
RA 4 RA 5
2023-07-14 – present Current
Shenwan Hongyuan Securities (H.K.) Limited RO
RA 1
2023-07-14 – present Current
Shenwan Hongyuan Futures (H.K.) Limited RO
RA 2
2023-05-17 – 2023-07-14
Shenwan Hongyuan Securities (H.K.) Limited Rep
RA 1
2023-05-17 – 2023-07-14
Shenwan Hongyuan Futures (H.K.) Limited Rep
RA 2
2022-04-21 – 2023-04-21
Changjiang Securities Brokerage (HK) Limited RO
RA 1 RA 2
2022-04-21 – 2023-04-21
Changjiang Futures (HK) Limited RO
RA 2
2022-03-14 – 2022-04-21
Changjiang Securities Brokerage (HK) Limited Rep
RA 1 RA 2
2022-03-14 – 2022-04-21
Changjiang Futures (HK) Limited Rep
RA 2
2017-10-31 – 2021-09-30
China Everbright Securities (HK) Limited RO
RA 1
2017-10-31 – 2021-09-30
China Everbright Forex & Futures (HK) Limited RO
RA 2 RA 3
2017-06-05 – 2021-09-30
Everbright Securities Digital Finance (HK) Limited RO
RA 1
2017-06-05 – 2021-09-30
Everbright Securities Investment Services (HK) Limited RO
RA 1
2017-06-05 – 2021-09-30
CES Commodities (HK) Limited RO
RA 2
2017-06-05 – 2021-09-30
CES Forex (HK) Limited RO
RA 3
2015-07-13 – 2016-09-21
UOB Kay Hian (Hong Kong) Limited Rep
RA 1
2015-07-13 – 2016-09-21
UOB Kay Hian Futures (Hong Kong) Limited Rep
RA 2
2008-04-23 – 2017-06-05
Everbright Securities Investment Services (HK) Limited Rep
RA 1
2008-04-23 – 2017-06-05
CES Forex (HK) Limited Rep
RA 3
2007-12-11 – 2017-06-05
CES Commodities (HK) 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/AQD598