Phoebe Yuen Ting Tse
謝宛庭
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Phoebe Yuen Ting Tse (謝宛庭), a licensed Responsible Officer with CE reference APH924. Currently licensed at 1 firm(s): Charles-Lim Capital Limited. Active regulated activities: Type 9 — Asset management. Total licence records on file: 8.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Charles-Lim Capital Limited |
RO | Type 9 — Asset management | 2021-04-26 | present |
| Charles-Lim Capital Limited |
Rep | Type 9 — Asset management | 2015-12-18 | 2021-04-26 |
| Barclays Capital Asia Limited 巴克萊亞洲有限公司 |
Rep | Type 4 — Advising on securities | 2011-07-18 | 2015-12-07 |
| Credit Suisse (Hong Kong) Limited 瑞士信貸(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2009-08-12 | 2011-05-20 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 — Advising on securities | 2008-10-09 | 2009-07-01 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2008-10-09 | 2009-07-01 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 4 — Advising on securities | 2007-08-01 | 2008-09-29 |
| Lehman Brothers Asia Limited 美國雷曼兄弟亞洲投資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2007-08-01 | 2008-09-29 |