Tse, Raymond 謝禮文
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 | AN ZHONG (AZ) INVESTMENT MANAGEMENT HONG KONG LIMITED | RO | Advising on securities | 2011-08-03 | 2011-08-25 | RO | Asset management | 2011-08-03 | 2011-08-25 | RO | Dealing in securities | 2011-08-03 | 2011-08-25 |
| 2 | BOCOM International Asset Management Limited | Rep | Asset management | 2008-01-07 | 2011-03-16 |
| 3 | BOCOM International Securities Limited | Rep | Advising on securities | 2008-01-07 | 2011-03-16 | Rep | Dealing in securities | 2008-01-07 | 2011-03-16 |
| 4 | CCB Securities Limited | RO | Advising on securities | 2016-06-20 | 2018-03-21 | RO | Asset management | 2016-06-20 | 2018-03-21 | RO | Dealing in securities | 2018-01-05 | 2018-03-21 |
| 5 | FRONTIER CAPITAL MANAGEMENT LIMITED (HK) | Rep | Advising on securities | 2020-01-23 | 2020-02-12 | Rep | Asset management | 2020-01-23 | 2020-02-12 | Rep | Dealing in securities | 2020-01-23 | 2020-02-12 | RO | Advising on securities | 2020-02-12 | 2022-08-17 | RO | Asset management | 2020-02-12 | 2022-08-17 | RO | Dealing in securities | 2020-02-12 | 2022-08-17 |
| 6 | GALAXY ASSET MANAGEMENT (H.K.) LIMITED | Rep | Advising on securities | 2013-12-06 | 2014-01-21 | Rep | Asset management | 2013-12-06 | 2014-01-21 | RO | Advising on securities | 2023-08-03 | 2024-01-22 | RO | Asset management | 2023-08-03 | 2024-01-22 |
| 7 | GUOSEN SECURITIES (HK) ASSET MANAGEMENT COMPANY LIMITED | Rep | Asset management | 2014-01-27 | 2015-04-02 |
| 8 | HANG SENG INVESTMENT MANAGEMENT LIMITED | Rep | Advising on securities | 2004-07-19 | 2004-09-24 | Rep | Asset management | 2004-07-19 | 2004-09-24 | Rep | Dealing in securities | 2004-07-19 | 2004-09-24 | RO | Advising on securities | 2004-09-24 | 2007-07-20 | RO | Asset management | 2004-09-24 | 2007-07-20 | RO | Dealing in securities | 2004-09-24 | 2007-07-20 |
| 9 | Nomura Asset Management Hong Kong Limited | Rep | Advising on corporate finance | 2004-06-26 | Rep | Advising on securities | 2004-06-26 | Rep | Asset management | 2004-06-26 | Rep | Dealing in securities | 2004-06-26 |
| 10 | PHILIPPA HUCKLE GROUP LIMITED (THE) | Rep | Advising on securities | 2018-05-25 | 2018-06-01 | Rep | Asset management | 2018-05-25 | 2018-06-01 | Rep | Dealing in securities | 2018-05-25 | 2018-06-01 | RO | Advising on securities | 2018-06-01 | 2019-06-21 | RO | Asset management | 2018-06-01 | 2019-06-21 | RO | Dealing in securities | 2018-06-01 | 2019-06-21 |
| 11 | Sauder Global Investment Management Limited | RO | Advising on securities | 2024-01-24 | RO | Asset management | 2024-01-24 | RO | Dealing in securities | 2024-10-10 |
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