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), 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 |