Tse, Yat Kei 謝日基
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 | CASH Wealth Management Limited | Rep | Asset management | 2020-03-04 | 2020-11-20 | RO | Advising on securities | 2020-03-04 | 2020-11-20 | RO | Dealing in securities | 2020-03-04 | 2020-11-20 |
| 2 | China Enterprise Securities Company Limited | Rep | Dealing in securities | 2016-08-16 | 2017-05-12 | Rep | Advising on securities | 2016-11-21 | 2017-05-12 | Rep | Asset management | 2017-04-07 | 2017-05-12 |
| 3 | Forthright Capital Management Limited | Rep | Asset management | 2023-12-01 | |
| 4 | FORTHRIGHT SECURITIES COMPANY LIMITED | Rep | Advising on securities | 2023-07-07 | 2023-08-08 | Rep | Dealing in securities | 2023-07-07 | 2023-08-08 | RO | Advising on securities | 2023-08-08 | RO | Dealing in securities | 2023-08-08 |
| 5 | Fosun International Securities Limited | Rep | Advising on securities | 2021-07-14 | 2021-08-30 | Rep | Dealing in securities | 2021-07-14 | 2021-08-30 | Rep | Asset management | 2021-07-14 | 2022-10-07 | RO | Advising on securities | 2021-08-30 | 2022-10-07 | RO | Dealing in securities | 2021-08-30 | 2022-10-07 |
| 6 | GEO Securities Limited | Rep | Dealing in securities | 2013-09-25 | 2016-06-30 | Rep | Advising on securities | 2017-09-28 | 2018-01-10 | Rep | Dealing in securities | 2017-09-28 | 2018-01-10 | RO | Advising on securities | 2018-01-10 | 2018-03-09 | RO | Dealing in securities | 2018-01-10 | 2018-03-09 |
| 7 | Hao Tian Asset Management Limited | Rep | Asset management | 2018-04-04 | 2019-02-20 | RO | Advising on securities | 2018-10-16 | 2019-02-20 |
| 8 | Hao Tian International Securities Limited | Rep | Dealing in securities | 2018-04-04 | 2018-04-26 | RO | Dealing in securities | 2018-04-26 | 2019-02-20 |
| 9 | ONE CHINA SECURITIES LIMITED | Rep | Dealing in securities | 2012-09-14 | 2013-09-01 |
| 10 | OnePlatform Asset Management Limited | Rep | Advising on securities | 2006-12-05 | 2010-01-05 | Rep | Dealing in securities | 2009-08-11 | 2010-01-05 |
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