Karen Sze Wai Tsang
曾思慧
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Karen Sze Wai Tsang (曾思慧), CE reference AFN688. Currently licensed at 1 firm(s): Maxcess Capital Limited. Total licence records on file: 13.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Maxcess Capital Limited 至成資本有限公司 |
Rep | Type 4 — Advising on securities | 2023-09-11 | present |
| Maxcess Capital Limited 至成資本有限公司 |
Rep | Type 9 — Asset management | 2023-09-11 | present |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2008-09-17 | 2020-07-21 |
| HSBC Investment Funds (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2008-09-17 | 2020-07-21 |
| Halbis Capital Management (Hong Kong) Limited | Rep | Type 1 — Dealing in securities | 2008-09-17 | 2011-12-31 |
| Halbis Capital Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2005-07-15 | 2011-12-31 |
| Halbis Capital Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2005-07-15 | 2011-12-31 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 4 — Advising on securities | 2004-11-03 | 2020-07-21 |
| HSBC Global Asset Management (Hong Kong) Limited | Rep | Type 9 — Asset management | 2004-11-03 | 2020-07-21 |
| AXA Rosenberg Investment Management Asia Pacific Limited 安盛羅森堡投資管理亞太有限公司(以AXARosenbergAsiaPacific;AXAInvestmentManagers名義經營業務) |
Rep | Type 1 — Dealing in securities | present | 2004-10-15 |
| AXA Rosenberg Investment Management Asia Pacific Limited 安盛羅森堡投資管理亞太有限公司(以AXARosenbergAsiaPacific;AXAInvestmentManagers名義經營業務) |
Rep | Type 4 — Advising on securities | present | 2004-10-15 |
| AXA Rosenberg Investment Management Asia Pacific Limited 安盛羅森堡投資管理亞太有限公司(以AXARosenbergAsiaPacific;AXAInvestmentManagers名義經營業務) |
Rep | Type 6 — Advising on corporate finance | present | 2004-10-15 |
| AXA Rosenberg Investment Management Asia Pacific Limited 安盛羅森堡投資管理亞太有限公司(以AXARosenbergAsiaPacific;AXAInvestmentManagers名義經營業務) |
Rep | Type 9 — Asset management | present | 2004-10-15 |