SFC Licences of TSE Kwok On 謝國安

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

Institution	Role	Licences	Start date	End date
SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司	RO	1	04 July 2023
SBI China Capital Financial Services Limited 軟庫中華金融服務有限公司	RE	1	10 May 2023	04 July 2023
SBI China Capital Hong Kong Securities Limited 軟庫中華香港證券有限公司	RE	6	10 May 2023
Glory Sun Securities Limited 寶新證券有限公司	RO	1	17 February 2023	20 March 2023
Glory Sun Securities Limited 寶新證券有限公司	RE	6	05 January 2023	20 March 2023
Glory Sun Securities Limited 寶新證券有限公司	RE	1	05 January 2023	17 February 2023
Eddid Capital Limited 艾德資本有限公司	RO	1	13 August 2020	13 July 2022
Eddid Capital Limited 艾德資本有限公司	RE	6	13 August 2020	13 July 2022
Eddid Securities and Futures Limited 艾德證券期貨有限公司	RO	1	14 May 2020	13 July 2022
Eddid Securities and Futures Limited 艾德證券期貨有限公司	RE	1	15 April 2020	14 May 2020
Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司	RO	1	22 November 2017	09 March 2020
Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司	RO	1	22 November 2017	09 March 2020
Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司	RE	6	29 May 2017	09 March 2020
Southwest Securities (HK) Capital Limited 西證(香港)融資有限公司	RE	1	29 May 2017	22 November 2017
Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司	RE	1	29 May 2017	22 November 2017
Yi Shun Da Capital Limited 易順達融資有限公司	RO	1	25 April 2017	17 May 2017
Yi Shun Da Capital Limited 易順達融資有限公司	RE	6	10 March 2017	17 May 2017
Yi Shun Da Capital Limited 易順達融資有限公司	RE	1	10 March 2017	25 April 2017
Ping An of China Securities (Hong Kong) Company Limited 中國平安証券(香港)有限公司	RO	1	22 July 2015	14 February 2017
Ping An of China Capital (Hong Kong) Company Limited 中國平安資本(香港)有限公司	RE	6	11 June 2015	14 February 2017
Ping An of China Securities (Hong Kong) Company Limited 中國平安証券(香港)有限公司	RE	1	11 June 2015	22 July 2015
CMB International Capital Limited 招銀國際融資有限公司	RE	6	04 May 2012	31 May 2015
CMB International Capital Limited 招銀國際融資有限公司	RO	1	04 November 2011	31 May 2015
CMB International Capital Limited 招銀國際融資有限公司	RO	6	04 November 2011	04 May 2012
CMB International Capital Limited 招銀國際融資有限公司	RE	6	23 June 2011	04 November 2011
CMB International Capital Limited 招銀國際融資有限公司	RE	1	23 June 2011	04 November 2011
Oriental Patron Securities Limited 東英亞洲證券有限公司	RE	1	27 January 2011	01 June 2011
CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司	RE	6	22 June 2007	26 January 2011
CGS International Securities Hong Kong Limited 中國銀河證券香港有限公司	RE	1	22 June 2007	26 January 2011
Piper Jaffray Asia Futures Limited 派杰亞洲期貨有限公司	RE	2	28 August 2006	12 May 2007
Piper Jaffray Asia Securities Limited 派杰亞洲証券有限公司	RE	1	28 August 2006	12 May 2007
UOB Kay Hian Futures (Hong Kong) Limited 大華繼顯期貨(香港)有限公司	RE	2	18 April 2006	12 August 2006
UOB Kay Hian (Hong Kong) Limited 大華繼顯(香港)有限公司	RE	1	18 April 2006	12 August 2006
CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司	RE	6	01 April 2003	31 March 2006
CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司	RE	9	01 April 2003	14 September 2004
CITIC Securities (Hong Kong) Limited 中信證券(香港)有限公司	RE	4	01 April 2003	14 September 2004