Au, Tai Chung 區大中
SFC licenses
Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.
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| Organisation | Role | Activity | From | Until | |
|---|---|---|---|---|---|
| 1 | CAPITAL GLOBAL MANAGEMENT LIMITED | Rep | Dealing in securities | 2006-06-01 | 2006-06-21 | RO | Advising on securities | 2006-06-21 | 2007-05-21 | RO | Dealing in securities | 2006-06-21 | 2007-05-21 | RO | Advising on securities | 2008-10-10 | 2010-05-20 | RO | Dealing in securities | 2008-10-10 | 2010-05-20 | RO | Advising on securities | 2010-08-13 | 2011-08-19 | RO | Dealing in securities | 2010-08-13 | 2011-08-19 |
| 2 | CSC FUTURES (HK) LIMITED | Rep | Advising on futures contracts | 2003-10-30 | Rep | Asset management | 2003-10-30 | Rep | Dealing in futures contracts | 2003-12-29 | RO | Dealing in futures contracts | 2003-12-29 | 2006-05-04 |
| 3 | CSC SECURITIES (HK) LIMITED | Rep | Advising on corporate finance | 2003-10-30 | Rep | Advising on securities | 2003-10-30 | Rep | Asset management | 2003-10-30 | Rep | Automated trading services | 2003-10-30 | Rep | Dealing in securities | 2006-05-04 | RO | Dealing in futures contracts | 2003-12-29 | 2006-05-04 |
| 4 | Essence Futures (Hong Kong) Limited | RO | Dealing in futures contracts | 2011-11-25 | RO | Advising on futures contracts | 2012-08-13 |
| 5 | Essence International Financial Holdings Limited | RO | Dealing in securities | 2012-08-13 | 2014-09-15 |
| 6 | Essence International Securities (Hong Kong) Limited | RO | Dealing in securities | 2011-11-25 |
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