Tse, Kwok On 謝國安
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 | CGS International Securities Hong Kong Limited | Rep | Advising on corporate finance | 2007-06-22 | 2011-01-26 | Rep | Dealing in securities | 2007-06-22 | 2011-01-26 |
| 2 | CITIC Securities (Hong Kong) Limited | Rep | Advising on securities | 2004-09-14 | Rep | Asset management | 2004-09-14 | Rep | Advising on corporate finance | 2006-03-31 |
| 3 | CMB International Capital Limited | Rep | Advising on corporate finance | 2011-06-23 | 2011-11-04 | Rep | Dealing in securities | 2011-06-23 | 2011-11-04 | RO | Advising on corporate finance | 2011-11-04 | 2012-05-04 | RO | Dealing in securities | 2011-11-04 | 2015-05-31 | Rep | Advising on corporate finance | 2012-05-04 | 2015-05-31 |
| 4 | EDDID CAPITAL LIMITED | Rep | Advising on corporate finance | 2020-08-13 | 2022-07-13 | RO | Dealing in securities | 2020-08-13 | 2022-07-13 |
| 5 | Eddid Securities and Futures Limited | Rep | Dealing in securities | 2020-04-15 | 2020-05-14 | RO | Dealing in securities | 2020-05-14 | 2022-07-13 |
| 6 | Glory Sun Securities Limited | Rep | Dealing in securities | 2023-01-05 | 2023-02-17 | Rep | Advising on corporate finance | 2023-01-05 | 2023-03-20 | RO | Dealing in securities | 2023-02-17 | 2023-03-20 |
| 7 | ORIENTAL PATRON SECURITIES LIMITED | Rep | Dealing in securities | 2011-01-27 | 2011-06-01 |
| 8 | Ping An of China Capital (Hong Kong) Company Limited | Rep | Advising on corporate finance | 2015-06-11 | 2017-02-14 |
| 9 | Ping An Securities (Hong Kong) Holdings Company Limited | Rep | Dealing in securities | 2015-06-11 | 2015-07-22 | RO | Dealing in securities | 2015-07-22 | 2017-02-14 |
| 10 | PIPER JAFFRAY ASIA FUTURES LIMITED | Rep | Dealing in futures contracts | 2006-08-28 | 2007-05-12 |
| 11 | PIPER JAFFRAY ASIA SECURITIES LIMITED | Rep | Dealing in securities | 2006-08-28 | 2007-05-12 |
| 12 | SBI China Capital Financial Services Limited | Rep | Dealing in securities | 2023-05-10 | 2023-07-04 | RO | Dealing in securities | 2023-07-04 |
| 13 | SBI China Capital Hong Kong Securities Limited | Rep | Advising on corporate finance | 2023-05-10 | |
| 14 | SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED | Rep | Dealing in securities | 2017-05-29 | 2017-11-22 | RO | Dealing in securities | 2017-11-22 | 2020-03-09 |
| 15 | SOUTHWEST SECURITIES (HK) CAPITAL LIMITED | Rep | Dealing in securities | 2017-05-29 | 2017-11-22 | Rep | Advising on corporate finance | 2017-05-29 | 2020-03-09 | RO | Dealing in securities | 2017-11-22 | 2020-03-09 |
| 16 | UOB KAY HIAN (HONG KONG) LIMITED | Rep | Dealing in securities | 2006-04-18 | 2006-08-12 |
| 17 | UOB KAY HIAN FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2006-04-18 | 2006-08-12 |
| 18 | Yi Shun Da Capital Limited | Rep | Dealing in securities | 2017-03-10 | 2017-04-25 | Rep | Advising on corporate finance | 2017-03-10 | 2017-05-17 | RO | Dealing in securities | 2017-04-25 | 2017-05-17 |
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