Tse, Sunny Man Ting 謝文廷
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 | HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | Automated trading services | 2003-09-02 | |
| 2 | HSBC BROKING FUTURES (ASIA) LIMITED | Rep | Advising on futures contracts | 2004-09-10 | |
| 3 | HSBC BROKING FUTURES (ASIA) LIMITED | Rep | Asset management | 2004-09-10 | |
| 4 | HSBC BROKING FUTURES (HONG KONG) LIMITED | Rep | Advising on futures contracts | 2004-09-10 | |
| 5 | HSBC BROKING FUTURES (HONG KONG) LIMITED | Rep | Asset management | 2004-09-10 | |
| 6 | HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | Advising on corporate finance | 2004-09-10 | |
| 7 | HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | Advising on securities | 2004-09-10 | |
| 8 | HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | Asset management | 2004-09-10 | |
| 9 | HSBC BROKING SECURITIES (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2004-09-10 | |
| 10 | HSBC BROKING SECURITIES (HONG KONG) LIMITED | Rep | Advising on securities | 2004-09-10 | |
| 11 | HSBC BROKING SECURITIES (HONG KONG) LIMITED | Rep | Asset management | 2004-09-10 | |
| 12 | HSBC BROKING FUTURES (ASIA) LIMITED | Rep | Dealing in futures contracts | 2006-06-17 | |
| 13 | HSBC BROKING FUTURES (HONG KONG) LIMITED | Rep | Dealing in futures contracts | 2006-06-17 | |
| 14 | HSBC BROKING SECURITIES (ASIA) LIMITED | Rep | Dealing in securities | 2006-06-17 | |
| 15 | HSBC BROKING SECURITIES (HONG KONG) LIMITED | Rep | Dealing in securities | 2006-06-17 | |
| 16 | BEAR STEARNS ASIA LIMITED | Rep | Dealing in futures contracts | 2006-07-03 | 2006-12-06 |
| 17 | BEAR STEARNS ASIA LIMITED | Rep | Dealing in securities | 2006-07-03 | 2006-12-06 |
| 18 | BEAR STEARNS HONG KONG LIMITED | Rep | Dealing in futures contracts | 2006-07-03 | 2006-12-06 |
| 19 | CHINA MERCHANTS FUTURES (HK) CO., LIMITED | Rep | Dealing in futures contracts | 2009-01-22 | 2012-03-01 |
| 20 | CHINA MERCHANTS SECURITIES (HK) CO., LIMITED | Rep | Dealing in securities | 2009-01-22 | 2012-03-01 |
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