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
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-CIMB Securities (Hong Kong) Limited 銀河—聯昌證券(香港)有限公司 RE 6 22 June 2007 26 January 2011
CGS-CIMB Securities (Hong Kong) Limited 銀河—聯昌證券(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
CLSA Capital Markets Limited 中信里昂證券資本市場有限公司 RE 6 01 April 2003 31 March 2006
CLSA Capital Markets Limited 中信里昂證券資本市場有限公司 RE 4 01 April 2003 14 September 2004
CLSA Capital Markets Limited 中信里昂證券資本市場有限公司 RE 9 01 April 2003 14 September 2004