Tse, Shing Chi (SFC:BAK932) 謝承志
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 | BOCI SECURITIES LIMITED | Rep | Dealing in futures contracts | 2012-11-29 | 2013-06-01 | Rep | Dealing in securities | 2012-11-29 | 2013-06-01 | Rep | Leveraged foreign exchange trading | 2012-11-29 | 2013-06-01 |
| 2 | Emperio Securities and Assets Management Limited | Rep | Advising on securities | 2021-08-04 | 2023-09-01 | Rep | Asset management | 2021-08-04 | 2023-09-01 | Rep | Dealing in securities | 2021-08-04 | 2023-09-01 |
| 3 | GUOTAI JUNAN FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2012-11-05 | 2012-11-06 |
| 4 | Guotai Junan FX Limited | Rep | Leveraged foreign exchange trading | 2012-11-05 | 2012-11-06 |
| 5 | GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2012-11-05 | 2012-11-06 |
| 6 | SBI China Capital Asset Management Limited | Rep | Advising on securities | 2019-05-02 | 2020-07-06 | Rep | Asset management | 2019-05-02 | 2020-07-06 |
| 7 | SBI China Capital Financial Services Limited | Rep | Advising on securities | 2018-08-20 | 2020-07-06 | Rep | Dealing in securities | 2018-08-20 | 2020-07-06 | Rep | Asset management | 2019-05-02 | 2020-07-06 |
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