Kenneth Sze Ming Tsoi
蔡思明
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Kenneth Sze Ming Tsoi (蔡思明), a licensed former licensee with CE reference ABP464. Total licence records on file: 16.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Peakhouse Asset Management Limited 睿峰資產管理有限公司 |
RO | Type 4 — Advising on securities | 2023-02-02 | 2023-09-15 |
| Peakhouse Asset Management Limited 睿峰資產管理有限公司 |
RO | Type 9 — Asset management | 2023-02-02 | 2023-09-15 |
| Midas Securities Limited 金源證券有限公司 |
RO | Type 1 — Dealing in securities | 2018-08-20 | 2020-03-19 |
| Midas Securities Limited 金源證券有限公司 |
RO | Type 2 — Dealing in futures contracts | 2018-08-20 | 2020-03-19 |
| Midas Securities Limited 金源證券有限公司 |
RO | Type 4 — Advising on securities | 2018-08-20 | 2020-03-19 |
| Midas Securities Limited 金源證券有限公司 |
RO | Type 9 — Asset management | 2018-08-20 | 2020-03-19 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 1 — Dealing in securities | 2005-01-19 | 2018-02-09 |
| Quam Securities Limited 華富建業證券有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2005-01-19 | 2018-02-09 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | present | 2004-12-20 |
| Shenwan Hongyuan Futures (H.K.) Limited 申萬宏源期貨(香港)有限公司 |
Rep | Type 2 — Dealing in futures contracts | present | 2004-12-20 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 4 — Advising on securities | present | 2004-07-22 |
| Shenwan Hongyuan Futures (H.K.) Limited 申萬宏源期貨(香港)有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2004-07-22 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2004-07-22 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 7 — Providing automated trading services | present | 2003-09-11 |
| Shenwan Hongyuan Futures (H.K.) Limited 申萬宏源期貨(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2004-07-22 |
| Shenwan Hongyuan Securities (H.K.) Limited 申萬宏源證券(香港)有限公司 |
Rep | Type 9 — Asset management | present | 2004-07-22 |