SFC Licences of TSE Soo Lai 謝素麗
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Principal Investment & Retirement Services Limited 信安投資及退休金服務有限公司 | RO | 4 | 26 January 2012 | 11 February 2013 |
| Principal Investment & Retirement Services Limited 信安投資及退休金服務有限公司 | RE | 1 | 26 January 2012 | 11 February 2013 |
| Huatai Financial Holdings (Hong Kong) Limited 華泰金融控股(香港)有限公司 | RE | 4 | 10 June 2010 | 05 January 2011 |
| Acumen Wealth Management Limited 誠明財富管理有限公司 | RE | 4 | 22 October 2008 | 15 December 2009 |
| AXA Financial Planning (Hong Kong) Limited 安盛理財策劃(香港)有限公司 | RE | 4 | 03 April 2006 | 01 October 2008 |
| Network Financial Services Limited 萬匯理財策劃有限公司 | RE | 4 | 01 April 2003 | 23 January 2006 |