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AU Kai Tat

區繼達
CE AVB807Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

AU Kai Tat (CE number AVB807) is an individual licensed by the Hong Kong SFC. First licensed on 2010-04-22. 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 9 (Asset management). Currently a responsible officer at 2 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 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerFunde Investment Management Limited
富德投資管理有限公司
Responsible OfficerFunde Securities Limited
富德證券有限公司

Licence Record (14)

2025-08-14 – 2026-06-01
WE Securities Limited RO
RA 1
2025-08-14 – 2026-06-01
WE Asset Management Limited RO
RA 4 RA 9
2021-04-26 – 2025-07-09
Global Prosperity Financial Company Limited RO
RA 1 RA 4 RA 9
2021-04-01 – 2021-04-26
Global Prosperity Financial Company Limited Rep
RA 1 RA 4 RA 9
2020-06-30 – 2021-03-29
China Zhong Heng Finance Group Limited RO
RA 1 RA 4 RA 9
2018-11-14 – 2019-11-09
China Tian Yuan Commodities and Futures Limited RO
RA 2
2018-10-22 – 2020-07-24
China Zhong Heng Finance Group Limited Rep
RA 1 RA 4 RA 9
2018-10-10 – 2018-11-14
China Tian Yuan Commodities and Futures Limited Rep
RA 2
2017-05-11 – 2018-10-02
Haitong Futures Hong Kong Limited Rep
RA 2
2013-03-01 – 2017-04-30
China Everbright Securities (HK) Limited Rep
RA 1
2013-03-01 – 2017-04-30
China Everbright Forex & Futures (HK) Limited Rep
RA 2 RA 3
2011-09-01 – 2013-02-21
BOCI Securities Limited Rep
RA 1 RA 2
2010-04-22 – 2011-08-20
Phillip Securities (Hong Kong) Limited Rep
RA 1 RA 4
2010-04-22 – 2011-08-20
Phillip 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/AVB807