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AU Shuk Yan

區淑炘
CE BIZ311Licensed IndividualSFO licence active
Official SFC record

AU Shuk Yan (CE number BIZ311) is an individual licensed by the Hong Kong SFC. First licensed on 2017-02-24. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 6 (Corporate finance).

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance

Roles & Accreditations (1)

CapacityCompany / Institution
RepresentativeOaktree Capital (Hong Kong) Limited

Licence Record (2)

2020-06-11 – present Current
Oaktree Capital (Hong Kong) Limited Rep
RA 1 RA 4
2017-02-24 – 2020-04-30
HSBC Corporate Finance (Hong Kong) Limited Rep
RA 6

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/BIZ311