Annie Win Yee Tse
謝永怡
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Annie Win Yee Tse (謝永怡), a licensed Responsible Officer with CE reference ACR126. Currently licensed at 1 firm(s): Doo Financial HK Limited. Active regulated activities: Type 1 — Dealing in securities; Type 4 — Advising on securities; Type 9 — Asset management. Total licence records on file: 34.
More firms doing Dealing in securities →More firms doing Advising on securities →More firms doing Asset management →
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Doo Financial HK Limited 都會金融香港有限公司 |
RO | Type 1 — Dealing in securities | 2024-02-14 | present |
| Doo Financial HK Limited 都會金融香港有限公司 |
RO | Type 4 — Advising on securities | 2023-06-15 | present |
| Doo Financial HK Limited 都會金融香港有限公司 |
RO | Type 9 — Asset management | 2023-06-15 | present |
| Doo Financial HK Limited 都會金融香港有限公司 |
Rep | Type 4 — Advising on securities | 2023-05-02 | 2023-06-15 |
| Doo Financial HK Limited 都會金融香港有限公司 |
Rep | Type 9 — Asset management | 2023-05-02 | 2023-06-15 |
| Pando Finance Limited 潘渡有限公司 |
RO | Type 1 — Dealing in securities | 2022-05-10 | 2023-04-23 |
| Pando Finance Limited 潘渡有限公司 |
RO | Type 4 — Advising on securities | 2022-05-10 | 2023-04-23 |
| Pando Finance Limited 潘渡有限公司 |
RO | Type 9 — Asset management | 2022-05-10 | 2023-04-23 |
| China Zhong Heng Finance Group Limited 中國中恒金融集團有限公司 |
RO | Type 1 — Dealing in securities | 2020-08-19 | 2021-07-01 |
| China Zhong Heng Finance Group Limited 中國中恒金融集團有限公司 |
RO | Type 4 — Advising on securities | 2020-08-19 | 2021-07-01 |
| China Zhong Heng Finance Group Limited 中國中恒金融集團有限公司 |
RO | Type 9 — Asset management | 2020-08-19 | 2021-07-01 |
| Esperanza Fintech (Securities) Limited 毅盛金融科技（證券）有限公司 |
RO | Type 4 — Advising on securities | 2020-04-03 | 2020-08-14 |
| Esperanza Fintech (Securities) Limited 毅盛金融科技（證券）有限公司 |
RO | Type 9 — Asset management | 2020-04-03 | 2020-08-14 |
| Esperanza Fintech (Securities) Limited 毅盛金融科技（證券）有限公司 |
Rep | Type 4 — Advising on securities | 2020-02-28 | 2020-04-03 |
| Esperanza Fintech (Securities) Limited 毅盛金融科技（證券）有限公司 |
Rep | Type 9 — Asset management | 2020-02-28 | 2020-04-03 |
| China Tian Yuan Commodities and Futures Limited 中國天元商品及期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2018-06-05 | 2020-01-17 |
| China Zhong Heng Finance Group Limited 中國中恒金融集團有限公司 |
RO | Type 1 — Dealing in securities | 2018-06-05 | 2020-01-17 |
| China Zhong Heng Finance Group Limited 中國中恒金融集團有限公司 |
Rep | Type 1 — Dealing in securities | 2017-06-27 | 2018-06-05 |
| China Zhong Heng Finance Group Limited 中國中恒金融集團有限公司 |
RO | Type 4 — Advising on securities | 2017-05-17 | 2020-01-17 |
| China Zhong Heng Finance Group Limited 中國中恒金融集團有限公司 |
RO | Type 9 — Asset management | 2017-05-17 | 2020-01-17 |
| China Zhong Heng Finance Group Limited 中國中恒金融集團有限公司 |
Rep | Type 4 — Advising on securities | 2017-03-31 | 2017-05-17 |
| China Zhong Heng Finance Group Limited 中國中恒金融集團有限公司 |
Rep | Type 9 — Asset management | 2017-03-31 | 2017-05-17 |
| Nomura Asset Management Hong Kong Limited 野村投資管理香港有限公司 |
RO | Type 1 — Dealing in securities | 2013-08-29 | 2017-02-11 |
| Nomura Asset Management Hong Kong Limited 野村投資管理香港有限公司 |
RO | Type 4 — Advising on securities | 2012-05-07 | 2017-02-11 |
| Nomura Asset Management Hong Kong Limited 野村投資管理香港有限公司 |
RO | Type 9 — Asset management | 2012-05-07 | 2017-02-11 |
| Nomura Asset Management Hong Kong Limited 野村投資管理香港有限公司 |
Rep | Type 4 — Advising on securities | 2008-10-03 | 2012-05-07 |
| Nomura Asset Management Hong Kong Limited 野村投資管理香港有限公司 |
Rep | Type 9 — Asset management | 2008-10-03 | 2012-05-07 |
| T & F Equities Limited | RO | Type 1 — Dealing in securities | 2006-07-18 | 2008-09-13 |
| T & F Equities Limited | Rep | Type 1 — Dealing in securities | 2006-04-01 | 2006-07-18 |
| T & F Research Limited | Rep | Type 4 — Advising on securities | 2003-12-09 | 2006-03-31 |
| Regent Financial Services Limited 勵晶財務顧問有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-09-17 |
| Regent Financial Services Limited 勵晶財務顧問有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2003-09-17 |
| Regent Financial Services Limited 勵晶財務顧問有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-09-17 |
| Regent Financial Services Limited 勵晶財務顧問有限公司 |
Rep | Type 9 — Asset management | present | 2003-09-17 |