AU Ho Ki

歐浩基

CE AQG675Licensed IndividualResponsible OfficerSFO licence active

AU Ho Ki (CE number AQG675) is an individual licensed by the Hong Kong SFC. First licensed on 2008-01-14. 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 1 firm.

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 (1)

Capacity	Company / Institution
Responsible Officer	Sunhigh Financial Holdings Limited 聖衡金融控股有限公司

Licence Record (9)

2023-05-23 – present Current

Sunhigh Financial Holdings Limited RO

RA 1 RA 4 RA 9

2022-03-23 – 2024-01-18

Sunhigh Financial Holdings Limited Rep

RA 1 RA 4 RA 9

2021-06-03 – 2022-02-28

Gentleman Capital Limited Rep

RA 9

2016-10-25 – 2021-03-25

UOB Kay Hian (Hong Kong) Limited Rep

RA 1

2016-10-25 – 2021-03-25

UOB Kay Hian Futures (Hong Kong) Limited Rep

RA 2

2015-06-22 – 2016-10-15

CES Commodities (HK) Limited Rep

RA 2

2015-03-18 – 2016-10-15

Everbright Securities Investment Services (HK) Limited Rep

RA 1

2010-12-20 – 2013-09-28

Chief Securities Limited Rep

RA 1

2008-01-14 – 2009-03-25

OnePlatform Asset Management Limited Rep

RA 4

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/AQG675