Tse, Ka Wai (SFC:ATT121) 謝家慧
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 | DEUTSCHE SECURITIES ASIA LIMITED | Rep | Dealing in futures contracts | 2009-09-16 | 2010-07-28 | Rep | Dealing in securities | 2009-09-16 | 2010-07-28 |
2 | GOLDMAN SACHS (ASIA) L.L.C. | Rep | Dealing in securities | 2010-11-04 | 2013-07-12 |
3 | GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2010-11-04 | 2013-07-12 |
4 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2013-10-11 | 2014-08-16 | Rep | Dealing in securities | 2013-10-11 | 2014-08-16 |
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