Soo Lai Tse
謝素麗
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Soo Lai Tse (謝素麗), a licensed former licensee with CE reference AIC206. Total licence records on file: 6.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Principal Investment & Retirement Services Limited 信安投資及退休金服務有限公司 |
Rep | Type 1 — Dealing in securities | 2012-01-26 | 2013-02-11 |
| Principal Investment & Retirement Services Limited 信安投資及退休金服務有限公司 |
RO | Type 4 — Advising on securities | 2012-01-26 | 2013-02-11 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2010-06-10 | 2011-01-05 |
| Acumen Wealth Management Limited 誠明財富管理有限公司 |
Rep | Type 4 — Advising on securities | 2008-10-22 | 2009-12-15 |
| AXA Financial Planning (Hong Kong) Limited 安盛理財策劃(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2006-04-03 | 2008-10-01 |
| Network Financial Services Limited 萬匯理財策劃有限公司 |
Rep | Type 4 — Advising on securities | present | 2006-01-23 |