Tse, Annie Win Yee 謝永怡
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 | Amital Asset Management Limited | Rep | Advising on securities | 2020-02-28 | 2020-04-03 | Rep | Asset management | 2020-02-28 | 2020-04-03 | RO | Advising on securities | 2020-04-03 | 2020-08-14 | RO | Asset management | 2020-04-03 | 2020-08-14 |
| 2 | CHINA TIAN YUAN COMMODITIES AND FUTURES LIMITED | Rep | Dealing in futures contracts | 2018-06-05 | 2020-01-17 |
| 3 | CHINA ZHONG HENG FINANCE GROUP LIMITED | Rep | Advising on securities | 2017-03-31 | 2017-05-17 | Rep | Asset management | 2017-03-31 | 2017-05-17 | RO | Advising on securities | 2017-05-17 | 2020-01-17 | RO | Asset management | 2017-05-17 | 2020-01-17 | Rep | Dealing in securities | 2017-06-27 | 2018-06-05 | RO | Dealing in securities | 2018-06-05 | 2020-01-17 | RO | Advising on securities | 2020-08-19 | 2021-07-01 | RO | Asset management | 2020-08-19 | 2021-07-01 | RO | Dealing in securities | 2020-08-19 | 2021-07-01 |
| 4 | Doo Financial HK Limited | Rep | Advising on securities | 2023-05-02 | 2023-06-15 | Rep | Asset management | 2023-05-02 | 2023-06-15 | RO | Advising on securities | 2023-06-15 | RO | Asset management | 2023-06-15 | RO | Dealing in securities | 2024-02-14 |
| 5 | Nomura Asset Management Hong Kong Limited | Rep | Advising on securities | 2008-10-03 | 2012-05-07 | Rep | Asset management | 2008-10-03 | 2012-05-07 | RO | Advising on securities | 2012-05-07 | 2017-02-11 | RO | Asset management | 2012-05-07 | 2017-02-11 | RO | Dealing in securities | 2013-08-29 | 2017-02-11 |
| 6 | Pando Finance Limited | RO | Advising on securities | 2022-05-10 | 2023-04-23 | RO | Asset management | 2022-05-10 | 2023-04-23 | RO | Dealing in securities | 2022-05-10 | 2023-04-23 |
| 7 | REGENT FINANCIAL SERVICES LIMITED | Rep | Advising on corporate finance | 2003-09-17 | Rep | Advising on futures contracts | 2003-09-17 | Rep | Advising on securities | 2003-09-17 | Rep | Asset management | 2003-09-17 |
| 8 | T & F Equities Limited | Rep | Dealing in securities | 2006-04-01 | 2006-07-18 | RO | Dealing in securities | 2006-07-18 | 2008-09-13 |
| 9 | T & F RESEARCH LIMITED | Rep | Advising on securities | 2003-12-09 | 2006-03-31 |
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