Annie Win Yee Tse
謝永怡
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Annie Win Yee Tse (謝永怡), CE reference ACR126. Currently licensed at 1 firm(s): Doo Financial HK Limited. Total licence records on file: 34.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Doo Financial HK Limited 都會金融香港有限公司 |
RO | Type 1 — Dealing in securities | 2024-02-14 | present |
| Doo Financial HK Limited 都會金融香港有限公司 |
RO | Type 4 — Advising on securities | 2023-06-15 | present |
| Doo Financial HK Limited 都會金融香港有限公司 |
RO | Type 9 — Asset management | 2023-06-15 | present |
| Doo Financial HK Limited 都會金融香港有限公司 |
Rep | Type 4 — Advising on securities | 2023-05-02 | 2023-06-15 |
| Doo Financial HK Limited 都會金融香港有限公司 |
Rep | Type 9 — Asset management | 2023-05-02 | 2023-06-15 |
| Pando Finance Limited 潘渡有限公司 |
RO | Type 1 — Dealing in securities | 2022-05-10 | 2023-04-23 |
| Pando Finance Limited 潘渡有限公司 |
RO | Type 4 — Advising on securities | 2022-05-10 | 2023-04-23 |
| Pando Finance Limited 潘渡有限公司 |
RO | Type 9 — Asset management | 2022-05-10 | 2023-04-23 |
| China Zhong Heng Finance Group Limited 中國中恒金融集團有限公司 |
RO | Type 1 — Dealing in securities | 2020-08-19 | 2021-07-01 |
| China Zhong Heng Finance Group Limited 中國中恒金融集團有限公司 |
RO | Type 4 — Advising on securities | 2020-08-19 | 2021-07-01 |
| China Zhong Heng Finance Group Limited 中國中恒金融集團有限公司 |
RO | Type 9 — Asset management | 2020-08-19 | 2021-07-01 |
| Esperanza Fintech (Securities) Limited 毅盛金融科技（證券）有限公司 |
RO | Type 4 — Advising on securities | 2020-04-03 | 2020-08-14 |
| Esperanza Fintech (Securities) Limited 毅盛金融科技（證券）有限公司 |
RO | Type 9 — Asset management | 2020-04-03 | 2020-08-14 |
| Esperanza Fintech (Securities) Limited 毅盛金融科技（證券）有限公司 |
Rep | Type 4 — Advising on securities | 2020-02-28 | 2020-04-03 |
| Esperanza Fintech (Securities) Limited 毅盛金融科技（證券）有限公司 |
Rep | Type 9 — Asset management | 2020-02-28 | 2020-04-03 |
| China Tian Yuan Commodities and Futures Limited 中國天元商品及期貨有限公司 |
Rep | Type 2 — Dealing in futures contracts | 2018-06-05 | 2020-01-17 |
| China Zhong Heng Finance Group Limited 中國中恒金融集團有限公司 |
RO | Type 1 — Dealing in securities | 2018-06-05 | 2020-01-17 |
| China Zhong Heng Finance Group Limited 中國中恒金融集團有限公司 |
Rep | Type 1 — Dealing in securities | 2017-06-27 | 2018-06-05 |
| China Zhong Heng Finance Group Limited 中國中恒金融集團有限公司 |
RO | Type 4 — Advising on securities | 2017-05-17 | 2020-01-17 |
| China Zhong Heng Finance Group Limited 中國中恒金融集團有限公司 |
RO | Type 9 — Asset management | 2017-05-17 | 2020-01-17 |
| China Zhong Heng Finance Group Limited 中國中恒金融集團有限公司 |
Rep | Type 4 — Advising on securities | 2017-03-31 | 2017-05-17 |
| China Zhong Heng Finance Group Limited 中國中恒金融集團有限公司 |
Rep | Type 9 — Asset management | 2017-03-31 | 2017-05-17 |
| Nomura Asset Management Hong Kong Limited 野村投資管理香港有限公司 |
RO | Type 1 — Dealing in securities | 2013-08-29 | 2017-02-11 |
| Nomura Asset Management Hong Kong Limited 野村投資管理香港有限公司 |
RO | Type 4 — Advising on securities | 2012-05-07 | 2017-02-11 |
| Nomura Asset Management Hong Kong Limited 野村投資管理香港有限公司 |
RO | Type 9 — Asset management | 2012-05-07 | 2017-02-11 |
| Nomura Asset Management Hong Kong Limited 野村投資管理香港有限公司 |
Rep | Type 4 — Advising on securities | 2008-10-03 | 2012-05-07 |
| Nomura Asset Management Hong Kong Limited 野村投資管理香港有限公司 |
Rep | Type 9 — Asset management | 2008-10-03 | 2012-05-07 |
| T & F Equities Limited | RO | Type 1 — Dealing in securities | 2006-07-18 | 2008-09-13 |
| T & F Equities Limited | Rep | Type 1 — Dealing in securities | 2006-04-01 | 2006-07-18 |
| T & F Research Limited | Rep | Type 4 — Advising on securities | 2003-12-09 | 2006-03-31 |
| Regent Financial Services Limited 勵晶財務顧問有限公司 |
Rep | Type 4 — Advising on securities | present | 2003-09-17 |
| Regent Financial Services Limited 勵晶財務顧問有限公司 |
Rep | Type 5 — Advising on futures contracts | present | 2003-09-17 |
| Regent Financial Services Limited 勵晶財務顧問有限公司 |
Rep | Type 6 — Advising on corporate finance | present | 2003-09-17 |
| Regent Financial Services Limited 勵晶財務顧問有限公司 |
Rep | Type 9 — Asset management | present | 2003-09-17 |