Tse, Jaff Ka Wai 謝家威
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 | AllianceBernstein Hong Kong Limited | Rep | Advising on securities | 2010-10-11 | 2011-10-24 | Rep | Dealing in securities | 2010-10-11 | 2011-10-24 |
| 2 | CGS International Securities Hong Kong Limited | Rep | Dealing in securities | 2022-10-13 | |
| 3 | Credit Agricole Securities (Asia) Limited | Rep | Dealing in securities | 2003-06-12 | 2008-09-01 |
| 4 | ICAP Equities Asia Limited | Rep | Dealing in securities | 2009-01-19 | 2009-07-29 | Rep | Advising on securities | 2009-01-19 | 2010-05-05 | RO | Dealing in securities | 2009-07-29 | 2010-05-05 |
| 5 | MIZUHO SECURITIES ASIA LIMITED | Rep | Advising on securities | 2010-05-18 | 2010-07-31 | Rep | Dealing in securities | 2010-05-18 | 2010-07-31 |
| 6 | RBS Asia Securities (Hong Kong) Limited | Rep | Dealing in securities | 2003-06-12 | 2005-02-04 |
| 7 | Sanford C. Bernstein (Hong Kong) Limited | RO | Advising on securities | 2011-09-28 | 2018-09-26 | RO | Dealing in securities | 2011-09-28 | 2018-09-26 |
| 8 | UBS SECURITIES ASIA LIMITED | Rep | Advising on corporate finance | 2003-04-10 | Rep | Advising on securities | 2003-04-10 | Rep | Asset management | 2003-04-10 | Rep | Dealing in securities | 2003-04-10 |
| 9 | UBS SECURITIES HONG KONG LIMITED | Rep | Advising on corporate finance | 2003-04-10 | Rep | Advising on securities | 2003-04-10 | Rep | Asset management | 2003-04-10 | Rep | Dealing in securities | 2003-04-10 |
| 10 | YUE XIU SECURITIES COMPANY LIMITED | Rep | Dealing in securities | 2019-01-04 | 2022-09-30 |
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