Tse, Sunny Sheung Lai (SFC:APB109) 謝尚禮
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 | CHINA EVERBRIGHT CAPITAL LIMITED | Rep | Advising on corporate finance | 2016-10-20 | 2017-01-20 | Rep | Advising on securities | 2016-10-20 | 2017-01-20 | Rep | Dealing in securities | 2016-10-20 | 2017-01-20 | RO | Advising on corporate finance | 2017-01-20 | 2018-02-21 | RO | Advising on securities | 2017-01-20 | 2018-02-21 | RO | Dealing in securities | 2017-01-20 | 2018-02-21 |
| 2 | CHINA EVERBRIGHT SECURITIES (HK) LIMITED | Rep | Advising on corporate finance | 2016-10-20 | 2017-10-24 | Rep | Advising on securities | 2016-10-20 | 2017-10-24 | Rep | Dealing in securities | 2016-10-20 | 2017-10-24 | RO | Advising on corporate finance | 2017-10-24 | 2018-02-21 | RO | Advising on securities | 2017-10-24 | 2018-02-21 | RO | Dealing in securities | 2017-10-24 | 2018-02-21 |
| 3 | DBS ASIA CAPITAL LIMITED | RO | Advising on corporate finance | 2014-03-17 | 2016-10-01 | RO | Advising on securities | 2014-03-17 | 2016-10-01 | RO | Dealing in securities | 2014-03-17 | 2016-10-01 |
| 4 | EDDID CAPITAL LIMITED | RO | Advising on corporate finance | 2022-05-11 | RO | Dealing in securities | 2022-05-11 |
| 5 | Eddid Securities and Futures Limited | RO | Advising on futures contracts | 2022-05-11 | RO | Advising on securities | 2022-05-11 | RO | Asset management | 2022-05-11 | RO | Dealing in futures contracts | 2022-05-11 | RO | Dealing in securities | 2022-05-11 | RO | Leveraged foreign exchange trading | 2022-10-20 | 2023-04-20 |
| 6 | MACQUARIE CAPITAL LIMITED | Rep | Advising on corporate finance | 2008-08-11 | 2010-05-26 | Rep | Dealing in securities | 2008-08-11 | 2010-05-26 | RO | Advising on corporate finance | 2010-05-26 | 2013-09-06 | RO | Dealing in securities | 2010-05-26 | 2013-09-06 |
| 7 | Macquarie Corporate (Hong Kong) Limited | Rep | Advising on corporate finance | 2008-08-11 | 2010-05-26 | RO | Advising on corporate finance | 2010-05-26 | 2013-09-06 |
| 8 | Morgan Stanley Asia Limited | Rep | Advising on corporate finance | 2007-06-04 | 2008-05-26 | Rep | Dealing in securities | 2007-06-04 | 2008-05-26 |
| 9 | SHANXI SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED | Rep | Advising on securities | 2018-12-04 | 2019-01-23 | RO | Advising on futures contracts | 2019-01-23 | 2022-02-21 | RO | Advising on securities | 2019-01-23 | 2022-02-21 | RO | Asset management | 2019-01-23 | 2022-02-21 |
| 10 | SHANXI SECURITIES INTERNATIONAL CAPITAL LIMITED | RO | Advising on corporate finance | 2019-01-23 | 2022-02-21 |
| 11 | SHANXI SECURITIES INTERNATIONAL FUTURES LIMITED | RO | Dealing in futures contracts | 2019-01-23 | 2022-02-21 |
| 12 | SHANXI SECURITIES INTERNATIONAL LIMITED | Rep | Dealing in securities | 2018-12-04 | 2019-01-23 | RO | Dealing in securities | 2019-01-23 | 2022-02-21 |
| 13 | Yi Shun Da Capital Limited | Rep | Advising on corporate finance | 2018-04-17 | 2018-08-27 | Rep | Dealing in securities | 2018-04-17 | 2018-08-27 |
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