Tse, Kwok On 謝國安 SFC Licences and HKMA Registrations (ID 75807)

證監會牌照

沒有開始日期的人士至少自現行登記冊於2003年4月1日啟用時起已擔任該職位。

顯示機構舊稱

只顯示現有牌照

機構	角色	受規管活動	開始日期	結束日期
SBI China Capital Financial Services Limited	RO	證券交易	2023-07-04	-
	Rep	證券交易	2023-05-10	2023-07-04
SBI China Capital Hong Kong Securities Limited	Rep	就機構融資提供意見	2023-05-10	-
Glory Sun Securities Limited	RO	證券交易	2023-02-17	2023-03-20
	Rep	證券交易	2023-01-05	2023-02-17
	Rep	就機構融資提供意見	2023-01-05	2023-03-20
EDDID CAPITAL LIMITED	Rep	就機構融資提供意見	2020-08-13	2022-07-13
	RO	證券交易	2020-08-13	2022-07-13
Eddid Securities and Futures Limited	RO	證券交易	2020-05-14	2022-07-13
	Rep	證券交易	2020-04-15	2020-05-14
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	RO	證券交易	2017-11-22	2020-03-09
SOUTHWEST SECURITIES (HK) CAPITAL LIMITED	RO	證券交易	2017-11-22	2020-03-09
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	證券交易	2017-05-29	2017-11-22
SOUTHWEST SECURITIES (HK) CAPITAL LIMITED	Rep	證券交易	2017-05-29	2017-11-22
	Rep	就機構融資提供意見	2017-05-29	2020-03-09
Yi Shun Da Capital Limited	RO	證券交易	2017-04-25	2017-05-17
	Rep	證券交易	2017-03-10	2017-04-25
	Rep	就機構融資提供意見	2017-03-10	2017-05-17
Ping An Securities (Hong Kong) Holdings Company Limited	RO	證券交易	2015-07-22	2017-02-14
Ping An of China Capital (Hong Kong) Company Limited	Rep	就機構融資提供意見	2015-06-11	2017-02-14
Ping An Securities (Hong Kong) Holdings Company Limited	Rep	證券交易	2015-06-11	2015-07-22
CMB International Capital Limited	Rep	就機構融資提供意見	2012-05-04	2015-05-31
	RO	就機構融資提供意見	2011-11-04	2012-05-04
	RO	證券交易	2011-11-04	2015-05-31
	Rep	就機構融資提供意見	2011-06-23	2011-11-04
	Rep	證券交易	2011-06-23	2011-11-04
ORIENTAL PATRON SECURITIES LIMITED	Rep	證券交易	2011-01-27	2011-06-01
CGS International Securities Hong Kong Limited	Rep	就機構融資提供意見	2007-06-22	2011-01-26
	Rep	證券交易	2007-06-22	2011-01-26
PIPER JAFFRAY ASIA FUTURES LIMITED	Rep	期貨合約交易	2006-08-28	2007-05-12
PIPER JAFFRAY ASIA SECURITIES LIMITED	Rep	證券交易	2006-08-28	2007-05-12
UOB KAY HIAN (HONG KONG) LIMITED	Rep	證券交易	2006-04-18	2006-08-12
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	期貨合約交易	2006-04-18	2006-08-12
CITIC Securities (Hong Kong) Limited	Rep	就證券提供意見	2003-04-01	2004-09-14
	Rep	提供資產管理	2003-04-01	2004-09-14
	Rep	就機構融資提供意見	2003-04-01	2006-03-31

金管局登記

金管局有關人士登記與證監會牌照獨立展示。EO 表示主管人員。

僅顯示現任登記

已採集記錄中暫無金管局登記。