TSE Win Yee, Annie

謝永怡

CE ACR126Licensed IndividualResponsible OfficerSFO licence active

TSE Win Yee, Annie (CE number ACR126) is an individual licensed by the Hong Kong SFC. First licensed on 2003-04-01. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 2 (Futures dealing), Type 4 (Advising on securities), Type 5 (Advising on futures), Type 6 (Corporate finance), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (6)

RA 1 Dealing in Securities

RA 2 Dealing in Futures Contracts

RA 4 Advising on Securities

RA 5 Advising on Futures Contracts

RA 6 Advising on Corporate Finance

RA 9 Asset Management

Roles & Accreditations (1)

Capacity	Company / Institution
Responsible Officer	Doo Financial HK Limited 都會金融香港有限公司

Licence Record (14)

2023-06-15 – present Current

Doo Financial HK Limited RO

RA 1 RA 4 RA 9

2023-05-02 – 2023-06-15

Doo Financial HK Limited Rep

RA 4 RA 9

2022-05-10 – 2023-04-23

Pando Finance Limited RO

RA 1 RA 4 RA 9

2020-04-03 – 2020-08-14

Esperanza Fintech (Securities) Limited RO

RA 4 RA 9

2020-02-28 – 2020-04-03

Esperanza Fintech (Securities) Limited Rep

RA 4 RA 9

2018-06-05 – 2020-01-17

China Tian Yuan Commodities and Futures Limited Rep

RA 2

2017-05-17 – 2021-07-01

China Zhong Heng Finance Group Limited RO

RA 1 RA 4 RA 9

2017-03-31 – 2018-06-05

China Zhong Heng Finance Group Limited Rep

RA 1 RA 4 RA 9

2012-05-07 – 2017-02-11

Nomura Asset Management Hong Kong Limited RO

RA 1 RA 4 RA 9

2008-10-03 – 2012-05-07

Nomura Asset Management Hong Kong Limited Rep

RA 4 RA 9

2006-07-18 – 2008-09-13

T & F Equities Limited RO

RA 1

2006-04-01 – 2006-07-18

T & F Equities Limited Rep

RA 1

2003-12-09 – 2006-03-31

T & F Research Limited Rep

RA 4

2003-04-01 – 2003-09-17

Regent Financial Services Limited Rep

RA 4 RA 5 RA 6 RA 9

Source: SFC, HKMA and other public regulatory records · Unofficial — this site is NOT the SFC, for reference only
Official record：apps.sfc.hk publicregWeb · JSON API：/api/indi/ACR126