SFC Licences of TSE Ka Wai 謝家慧
Source:
Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer
| Institution | Role | Licences | Start date | End date |
|---|---|---|---|---|
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 | RE | 2 | 11 October 2013 | 16 August 2014 |
| Nomura International (Hong Kong) Limited 野村國際(香港)有限公司 | RE | 1 | 11 October 2013 | 16 August 2014 |
| Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 | RE | 1 | 04 November 2010 | 12 July 2013 |
| Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 | RE | 2 | 04 November 2010 | 12 July 2013 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 | RE | 1 | 16 September 2009 | 28 July 2010 |
| Deutsche Securities Asia Limited 德意志證券亞洲有限公司 | RE | 2 | 16 September 2009 | 28 July 2010 |