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AU Tsz Chung

區子聰
CE AWO394Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

AU Tsz Chung (CE number AWO394) is an individual licensed by the Hong Kong SFC. First licensed on 2011-01-27. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 3 (Leveraged FX), Type 6 (Corporate finance). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 3 Leveraged Foreign Exchange Trading
RA 6 Advising on Corporate Finance

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerDL SECURITIES (HK) LIMITED
德林證券(香港)有限公司

Licence Record (5)

2022-04-21 – present Current
DL SECURITIES (HK) LIMITED RO
RA 6
2020-06-29 – 2022-04-21
DL SECURITIES (HK) LIMITED Rep
RA 6
2019-02-18 – 2020-05-31
Draco Capital Limited Rep
RA 6
2011-01-27 – 2018-12-28
Haitong International Securities Company Limited Rep
RA 1 RA 3
2011-01-27 – 2018-12-28
Haitong International 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/AWO394