Tse, Annie Win Yee 謝永怡

Key Data Licences & registrations Public Disciplinary Actions

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
VGROWTH SECURITIES INTERNATIONAL FINANCIAL GROUP LIMITED	RO	Dealing in securities	2024-02-14	-
	RO	Advising on securities	2023-06-15	-
	RO	Asset management	2023-06-15	-
	Rep	Advising on securities	2023-05-02	2023-06-15
	Rep	Asset management	2023-05-02	2023-06-15
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
CHINA ZHONG HENG FINANCE GROUP LIMITED	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
Esperanza Fintech (Securities) Limited	RO	Advising on securities	2020-04-03	2020-08-14
	RO	Asset management	2020-04-03	2020-08-14
	Rep	Advising on securities	2020-02-28	2020-04-03
	Rep	Asset management	2020-02-28	2020-04-03
CHINA TIAN YUAN COMMODITIES AND FUTURES LIMITED	Rep	Dealing in futures contracts	2018-06-05	2020-01-17
CHINA ZHONG HENG FINANCE GROUP LIMITED	RO	Dealing in securities	2018-06-05	2020-01-17
	Rep	Dealing in securities	2017-06-27	2018-06-05
	RO	Advising on securities	2017-05-17	2020-01-17
	RO	Asset management	2017-05-17	2020-01-17
	Rep	Advising on securities	2017-03-31	2017-05-17
	Rep	Asset management	2017-03-31	2017-05-17
Nomura Asset Management Hong Kong Limited	RO	Dealing in securities	2013-08-29	2017-02-11
	RO	Advising on securities	2012-05-07	2017-02-11
	RO	Asset management	2012-05-07	2017-02-11
	Rep	Advising on securities	2008-10-03	2012-05-07
	Rep	Asset management	2008-10-03	2012-05-07
T & F Equities Limited	RO	Dealing in securities	2006-07-18	2008-09-13
	Rep	Dealing in securities	2006-04-01	2006-07-18
T & F RESEARCH LIMITED	Rep	Advising on securities	2003-12-09	2006-03-31
REGENT FINANCIAL SERVICES LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-09-17
	Rep	Advising on futures contracts	2003-04-01	2003-09-17
	Rep	Advising on securities	2003-04-01	2003-09-17
	Rep	Asset management	2003-04-01	2003-09-17

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.