Cho Wan Tse
謝棗韻
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Cho Wan Tse (謝棗韻), a licensed former licensee with CE reference AVD685. Total licence records on file: 15.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Dongxing Securities (Hong Kong) Company Limited 東興證券(香港)有限公司 |
Rep | Type 1 — Dealing in securities | 2017-02-27 | 2023-06-22 |
| Dongxing Securities (Hong Kong) Company Limited 東興證券(香港)有限公司 |
Rep | Type 6 — Advising on corporate finance | 2017-02-27 | 2023-06-22 |
| CEB International Capital Corporation Limited 光銀國際資本有限公司 |
Rep | Type 1 — Dealing in securities | 2016-05-09 | 2017-02-16 |
| CEB International Capital Corporation Limited 光銀國際資本有限公司 |
Rep | Type 4 — Advising on securities | 2016-05-09 | 2017-02-16 |
| CEB International Capital Corporation Limited 光銀國際資本有限公司 |
Rep | Type 6 — Advising on corporate finance | 2016-05-09 | 2017-02-16 |
| Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司 |
Rep | Type 1 — Dealing in securities | 2015-03-30 | 2016-04-28 |
| Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司 |
Rep | Type 1 — Dealing in securities | 2015-03-30 | 2016-04-28 |
| Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2015-03-30 | 2016-04-28 |
| Cinda International Capital Limited 信達國際融資有限公司 |
Rep | Type 1 — Dealing in securities | 2011-07-27 | 2015-03-09 |
| Cinda International Securities Limited 信達國際證券有限公司 |
Rep | Type 1 — Dealing in securities | 2011-07-27 | 2015-03-09 |
| Cinda International Capital Limited 信達國際融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2011-07-27 | 2015-03-09 |
| CMB International Capital Limited 招銀國際融資有限公司 |
Rep | Type 1 — Dealing in securities | 2010-09-20 | 2011-06-17 |
| CMB International Capital Limited 招銀國際融資有限公司 |
Rep | Type 6 — Advising on corporate finance | 2010-09-20 | 2011-06-17 |
| CMB International Capital Holdings Corporation Limited 招銀國際金融控股有限公司 |
Rep | Type 1 — Dealing in securities | 2010-05-06 | 2010-09-20 |
| CMB International Capital Holdings Corporation Limited 招銀國際金融控股有限公司 |
Rep | Type 6 — Advising on corporate finance | 2010-05-06 | 2010-09-20 |