Charlton Tse
謝志聰
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for Charlton Tse (謝志聰), a licensed former licensee with CE reference AGE035. This person has 7.7 years of SFC licence history. Total licence records on file: 8.
Information
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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 6 - Advising on corporate finance | 2009-08-31 | 2010-12-16 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
RO | Type 6 - Advising on corporate finance | 2005-04-06 | 2009-08-31 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 1 - Dealing in securities | Pre-2003 | 2010-12-16 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 2 - Dealing in futures contracts | Pre-2003 | 2004-11-23 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 4 - Advising on securities | Pre-2003 | 2010-12-16 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 5 - Advising on futures contracts | Pre-2003 | 2004-11-23 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 6 - Advising on corporate finance | Pre-2003 | 2005-04-06 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 |
Rep | Type 9 - Asset management | Pre-2003 | 2004-11-23 |