Tsea, Po Kwan 謝寶君
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 | DEUTSCHE SECURITIES ASIA LIMITED | Rep | Advising on corporate finance | 2014-07-18 | 2017-07-07 |
| 2 | Merrill Lynch (Asia Pacific) Limited | Rep | Advising on corporate finance | 2007-06-01 | 2014-04-12 | Rep | Advising on securities | 2007-06-01 | 2014-04-12 | Rep | Dealing in securities | 2007-06-01 | 2014-04-12 |
| 3 | Merrill Lynch Far East Limited | Rep | Advising on corporate finance | 2007-06-01 | 2014-04-12 | Rep | Advising on securities | 2007-06-01 | 2014-04-12 | Rep | Dealing in securities | 2007-06-01 | 2014-04-12 |
| 4 | NOMURA INTERNATIONAL (HONG KONG) LIMITED | Rep | Advising on corporate finance | 2017-10-04 | 2019-07-29 | Rep | Advising on securities | 2017-10-04 | 2019-07-29 | Rep | Dealing in securities | 2017-10-04 | 2019-07-29 |
| 5 | UBS SECURITIES ASIA LIMITED | Rep | Advising on securities | 2004-07-22 | 2006-01-03 |
| 6 | UOB KAY HIAN (HONG KONG) LIMITED | Rep | Advising on securities | 2004-03-08 | 2004-07-14 |
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