SFC Licences of TSE Raymond 謝禮文

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Institution Role Licences Start date End date
Frontier Capital Management Limited 方達資本管理有限公司 RO 9 12 February 2020
Frontier Capital Management Limited 方達資本管理有限公司 RO 4 12 February 2020
Frontier Capital Management Limited 方達資本管理有限公司 RO 1 12 February 2020
Frontier Capital Management Limited 方達資本管理有限公司 RE 9 23 January 2020 12 February 2020
Frontier Capital Management Limited 方達資本管理有限公司 RE 4 23 January 2020 12 February 2020
Frontier Capital Management Limited 方達資本管理有限公司 RE 1 23 January 2020 12 February 2020
Philippa Huckle Group Limited, The (trading as Aria Forum Wealth Management) RO 9 01 June 2018 21 June 2019
Philippa Huckle Group Limited, The (trading as Aria Forum Wealth Management) RO 4 01 June 2018 21 June 2019
Philippa Huckle Group Limited, The (trading as Aria Forum Wealth Management) RO 1 01 June 2018 21 June 2019
Philippa Huckle Group Limited, The (trading as Aria Forum Wealth Management) RE 9 25 May 2018 01 June 2018
Philippa Huckle Group Limited, The (trading as Aria Forum Wealth Management) RE 4 25 May 2018 01 June 2018
Philippa Huckle Group Limited, The (trading as Aria Forum Wealth Management) RE 1 25 May 2018 01 June 2018
CCB Securities Limited 建行證券有限公司 RO 1 05 January 2018 21 March 2018
CCB Securities Limited 建行證券有限公司 RO 4 20 June 2016 21 March 2018
CCB Securities Limited 建行證券有限公司 RO 9 20 June 2016 21 March 2018
Guosen Securities (HK) Asset Management Company Limited 國信證券(香港)資產管理有限公司 RE 9 27 January 2014 02 April 2015
Galaxy Asset Management (H.K.) Limited 嘉理資產管理有限公司 RE 9 06 December 2013 21 January 2014
Galaxy Asset Management (H.K.) Limited 嘉理資產管理有限公司 RE 4 06 December 2013 21 January 2014
An Zhong (AZ) Investment Management Hong Kong Limited 安中投資管理香港有限公司 RO 9 03 August 2011 25 August 2011
An Zhong (AZ) Investment Management Hong Kong Limited 安中投資管理香港有限公司 RO 4 03 August 2011 25 August 2011
An Zhong (AZ) Investment Management Hong Kong Limited 安中投資管理香港有限公司 RO 1 03 August 2011 25 August 2011
BOCOM International Securities Limited 交銀國際證券有限公司 RE 1 07 January 2008 16 March 2011
BOCOM International Asset Management Limited 交銀國際資產管理有限公司 RE 9 07 January 2008 16 March 2011
BOCOM International Securities Limited 交銀國際證券有限公司 RE 4 07 January 2008 16 March 2011
Hang Seng Investment Management Limited 恒生投資管理有限公司 RO 9 24 September 2004 20 July 2007
Hang Seng Investment Management Limited 恒生投資管理有限公司 RO 4 24 September 2004 20 July 2007
Hang Seng Investment Management Limited 恒生投資管理有限公司 RO 1 24 September 2004 20 July 2007
Hang Seng Investment Management Limited 恒生投資管理有限公司 RE 9 19 July 2004 24 September 2004
Hang Seng Investment Management Limited 恒生投資管理有限公司 RE 4 19 July 2004 24 September 2004
Hang Seng Investment Management Limited 恒生投資管理有限公司 RE 1 19 July 2004 24 September 2004
Nomura Asset Management Hong Kong Limited 野村投資管理香港有限公司 RE 1 01 April 2003 26 June 2004
Nomura Asset Management Hong Kong Limited 野村投資管理香港有限公司 RE 4 01 April 2003 26 June 2004
Nomura Asset Management Hong Kong Limited 野村投資管理香港有限公司 RE 6 01 April 2003 26 June 2004
Nomura Asset Management Hong Kong Limited 野村投資管理香港有限公司 RE 9 01 April 2003 26 June 2004