Tse, Sunny Sheung Lai (SFC:APB109) 謝尚禮

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

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