Ivy Yan Wah Tse
謝欣樺
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Ivy Yan Wah Tse (謝欣樺), a licensed former licensee with CE reference AZR326. Total licence records on file: 16.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | 2018-03-26 | 2019-01-03 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 - Advising on securities | 2018-03-26 | 2019-01-03 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | 2018-03-19 | 2019-01-03 |
| HSBC Corporate Finance (Hong Kong) Limited | Rep | Type 6 - Advising on corporate finance | 2015-08-04 | 2018-02-23 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 1 - Dealing in securities | 2014-09-08 | 2015-03-31 |
| Macquarie Capital Limited 麥格理資本股份有限公司 |
Rep | Type 6 - Advising on corporate finance | 2014-09-08 | 2015-03-31 |
| Macquarie Corporate (Hong Kong) Limited | Rep | Type 6 - Advising on corporate finance | 2014-09-08 | 2015-03-31 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 - Dealing in securities | 2014-04-01 | 2014-06-27 |
| Merrill Lynch Far East Limited | Rep | Type 1 - Dealing in securities | 2014-04-01 | 2014-06-27 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 4 - Advising on securities | 2014-04-01 | 2014-06-27 |
| Merrill Lynch Far East Limited | Rep | Type 4 - Advising on securities | 2014-04-01 | 2014-06-27 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 6 - Advising on corporate finance | 2014-04-01 | 2014-06-27 |
| Merrill Lynch Far East Limited | Rep | Type 6 - Advising on corporate finance | 2014-04-01 | 2014-06-27 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 1 - Dealing in securities | 2012-08-13 | 2013-09-27 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 4 - Advising on securities | 2012-08-13 | 2013-09-27 |
| J.P. Morgan Securities (Far East) Limited | Rep | Type 6 - Advising on corporate finance | 2012-08-13 | 2013-09-27 |