Siu Yuen Tse
謝少淵
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Siu Yuen Tse (謝少淵), a licensed former licensee with CE reference AQA082. Total licence records on file: 11.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Goldhorse Securities Limited 金馬證券有限公司 |
RO | Type 1 — Dealing in securities | 2021-10-04 | 2022-09-26 |
| Goldhorse Securities Limited 金馬證券有限公司 |
RO | Type 4 — Advising on securities | 2021-10-04 | 2022-09-26 |
| Mighty Divine Securities Limited |
RO | Type 1 — Dealing in securities | 2021-03-03 | 2021-04-07 |
| Thunder Stone Securities (Hong Kong) Limited 雷石證券(香港)有限公司 |
RO | Type 1 — Dealing in securities | 2018-08-23 | 2019-08-16 |
| Forwin Securities Group Limited 富榮證券集團有限公司 |
RO | Type 1 — Dealing in securities | 2017-03-10 | 2017-07-31 |
| Forwin Futures Group Limited 富榮期貨集團有限公司 |
RO | Type 2 — Dealing in futures contracts | 2017-03-10 | 2017-07-31 |
| Xin Hua Securities (Hong Kong) Limited 新華證券(香港)有限公司 |
RO | Type 2 — Dealing in futures contracts | 2016-10-18 | 2016-12-18 |
| Xin Hua Securities (Hong Kong) Limited 新華證券(香港)有限公司 |
RO | Type 5 — Advising on futures contracts | 2016-10-18 | 2016-12-18 |
| Chief Securities Limited 致富證券有限公司 |
Rep | Type 4 — Advising on securities | 2016-04-29 | 2016-10-16 |
| Chief Commodities Limited 致富期貨商品有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2010-12-24 | 2016-10-16 |
| Chief Securities Limited 致富證券有限公司 |
Rep | Type 1 — Dealing in securities | 2007-11-16 | 2016-10-16 |