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TSE Ka Wai, Jaff

謝家威
CE ADR277Licensed IndividualSFO licence active
Official SFC record

TSE Ka Wai, Jaff (CE number ADR277) 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 4 (Advising on securities), Type 6 (Corporate finance), Type 9 (Asset management).

Regulated Activities (on record) (4)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance
RA 9 Asset Management

Roles & Accreditations (1)

CapacityCompany / Institution
RepresentativeCGS International Securities Hong Kong Limited
中國銀河證券香港有限公司

Licence Record (11)

2022-10-13 – present Current
CGS International Securities Hong Kong Limited Rep
RA 1
2019-01-04 – 2022-09-30
Yue Xiu Securities Company Limited Rep
RA 1
2011-09-28 – 2018-09-26
Sanford C. Bernstein (Hong Kong) Limited RO
RA 1 RA 4
2010-10-11 – 2011-10-24
AllianceBernstein Hong Kong Limited Rep
RA 1 RA 4
2010-05-18 – 2010-07-31
Mizuho Securities Asia Limited Rep
RA 1 RA 4
2009-07-29 – 2010-05-05
ICAP Equities Asia Limited RO
RA 1
2009-01-19 – 2010-05-05
ICAP Equities Asia Limited Rep
RA 1 RA 4
2003-06-12 – 2008-09-01
Credit Agricole Securities (Asia) Limited Rep
RA 1
2003-06-12 – 2005-02-04
RBS Asia Securities (Hong Kong) Limited Rep
RA 1
2003-04-01 – 2003-04-10
UBS Securities Asia Limited Rep
RA 1 RA 4 RA 6 RA 9
2003-04-01 – 2003-04-10
UBS Securities Hong Kong Limited Rep
RA 1 RA 4 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/ADR277