Kwok On Tse
謝國安
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kwok On Tse (謝國安), a licensed Responsible Officer with CE reference AHG557. Currently licensed at 2 firm(s): SBI China Capital Financial Services Limited, SBI China Capital Hong Kong Securities Limited. Active regulated activities: Type 1 — Dealing in securities; Type 6 — Advising on corporate finance. Total licence records on file: 36.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司 |
RO | Type 1 — Dealing in securities | 2023-07-04 | present |
| SBI China Capital Hong Kong Securities Limited 軟庫中華香港證券有限公司 |
Rep | Type 6 — Advising on corporate finance | 2023-05-10 | present |
| SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司 |
Rep | Type 1 — Dealing in securities | 2023-05-10 | 2023-07-04 |
| Glory Sun Securities Limited 寶新證券有限公司 |
RO | Type 1 — Dealing in securities | 2023-02-17 | 2023-03-20 |
| Glory Sun Securities Limited 寶新證券有限公司 |
Rep | Type 1 — Dealing in securities | 2023-01-05 | 2023-02-17 |
| Glory Sun Securities Limited 寶新證券有限公司 |
Rep | Type 6 — Advising on corporate finance | 2023-01-05 | 2023-03-20 |
| Eddid Capital Limited 艾德資本有限公司 |
Rep | Type 6 — Advising on corporate finance | 2020-08-13 | 2022-07-13 |
| Eddid Capital Limited 艾德資本有限公司 |
RO | Type 1 — Dealing in securities | 2020-08-13 | 2022-07-13 |
| Eddid Securities and Futures Limited 艾德證券期貨有限公司 |
RO | Type 1 — Dealing in securities | 2020-05-14 | 2022-07-13 |
| Eddid Securities and Futures Limited 艾德證券期貨有限公司 |
Rep | Type 1 — Dealing in securities | 2020-04-15 | 2020-05-14 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
RO | Type 1 — Dealing in securities | 2017-11-22 | 2020-03-09 |
| Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司 |
RO | Type 1 — Dealing in securities | 2017-11-22 | 2020-03-09 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2017-05-29 | 2017-11-22 |
| Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司 |
Rep | Type 1 — Dealing in securities | 2017-05-29 | 2017-11-22 |
| Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2017-05-29 | 2020-03-09 |
| Yi Shun Da Capital Limited 易順達融資有限公司 |
RO | Type 1 — Dealing in securities | 2017-04-25 | 2017-05-17 |
| Yi Shun Da Capital Limited 易順達融資有限公司 |
Rep | Type 1 — Dealing in securities | 2017-03-10 | 2017-04-25 |
| Yi Shun Da Capital Limited 易順達融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2017-03-10 | 2017-05-17 |
| Ping An Securities (Hong Kong) Holdings Company Limited 平安證券(香港)控股有限公司 |
RO | Type 1 — Dealing in securities | 2015-07-22 | 2017-02-14 |
| Ping An Securities (Hong Kong) Holdings Company Limited 平安證券(香港)控股有限公司 |
Rep | Type 1 — Dealing in securities | 2015-06-11 | 2015-07-22 |
| Ping An of China Capital (Hong Kong) Company Limited 中國平安資本(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2015-06-11 | 2017-02-14 |
| CMB International Capital Limited 招銀國際融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2012-05-04 | 2015-05-31 |
| CMB International Capital Limited 招銀國際融資有限公司 |
RO | Type 1 — Dealing in securities | 2011-11-04 | 2015-05-31 |
| CMB International Capital Limited 招銀國際融資有限公司 |
RO | Type 6 — Advising on corporate finance | 2011-11-04 | 2012-05-04 |
| CMB International Capital Limited 招銀國際融資有限公司 |
Rep | Type 1 — Dealing in securities | 2011-06-23 | 2011-11-04 |
| CMB International Capital Limited 招銀國際融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2011-06-23 | 2011-11-04 |
| Oriental Patron Securities Limited 東英亞洲證券有限公司 |
Rep | Type 1 — Dealing in securities | 2011-01-27 | 2011-06-01 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
Rep | Type 1 — Dealing in securities | 2007-06-22 | 2011-01-26 |
| CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司 |
Rep | Type 6 — Advising on corporate finance | 2007-06-22 | 2011-01-26 |
| Piper Jaffray Asia Securities Limited 派杰亞洲証券有限公司 |
Rep | Type 1 — Dealing in securities | 2006-08-28 | 2007-05-12 |
| Piper Jaffray Asia Futures Limited 派杰亞洲期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2006-08-28 | 2007-05-12 |
| UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2006-04-18 | 2006-08-12 |
| UOB Kay Hian Futures (Hong Kong) Limited 大華繼顯期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2006-04-18 | 2006-08-12 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-09-14 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2006-03-31 |
| CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2004-09-14 |