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TSE Kwok On

謝國安
CE AHG557Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

TSE Kwok On (CE number AHG557) 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 6 (Corporate finance), Type 9 (Asset management). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (5)

RA 1 Dealing in Securities
RA 2 Dealing in Futures Contracts
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance
RA 9 Asset Management

Roles & Accreditations (2)

CapacityCompany / Institution
Responsible OfficerSBI China Capital Financial Services Limited
軟庫中華金融服務有限公司
RepresentativeSBI China Capital Hong Kong Securities Limited
軟庫中華香港證券有限公司

Licence Record (27)

2023-07-04 – present Current
SBI China Capital Financial Services Limited RO
RA 1
2023-05-10 – present Current
SBI China Capital Hong Kong Securities Limited Rep
RA 6
2023-05-10 – 2023-07-04
SBI China Capital Financial Services Limited Rep
RA 1
2023-02-17 – 2023-03-20
Glory Sun Securities Limited RO
RA 1
2023-01-05 – 2023-03-20
Glory Sun Securities Limited Rep
RA 1 RA 6
2020-08-13 – 2022-07-13
Eddid Capital Limited Rep
RA 6
2020-08-13 – 2022-07-13
Eddid Capital Limited RO
RA 1
2020-05-14 – 2022-07-13
Eddid Securities and Futures Limited RO
RA 1
2020-04-15 – 2020-05-14
Eddid Securities and Futures Limited Rep
RA 1
2017-11-22 – 2020-03-09
Southwest Securities (HK) Brokerage Limited RO
RA 1
2017-11-22 – 2020-03-09
Southwest Securities (HK) Capital Limited RO
RA 1
2017-05-29 – 2017-11-22
Southwest Securities (HK) Brokerage Limited Rep
RA 1
2017-05-29 – 2020-03-09
Southwest Securities (HK) Capital Limited Rep
RA 1 RA 6
2017-04-25 – 2017-05-17
Yi Shun Da Capital Limited RO
RA 1
2017-03-10 – 2017-05-17
Yi Shun Da Capital Limited Rep
RA 1 RA 6
2015-07-22 – 2017-02-14
Ping An Securities (Hong Kong) Holdings Company Limited RO
RA 1
2015-06-11 – 2015-07-22
Ping An Securities (Hong Kong) Holdings Company Limited Rep
RA 1
2015-06-11 – 2017-02-14
Ping An of China Capital (Hong Kong) Company Limited Rep
RA 6
2011-11-04 – 2015-05-31
CMB International Capital Limited RO
RA 1 RA 6
2011-06-23 – 2015-05-31
CMB International Capital Limited Rep
RA 1 RA 6
2011-01-27 – 2011-06-01
Oriental Patron Securities Limited Rep
RA 1
2007-06-22 – 2011-01-26
CGS International Securities Hong Kong Limited Rep
RA 1 RA 6
2006-08-28 – 2007-05-12
Piper Jaffray Asia Securities Limited Rep
RA 1
2006-08-28 – 2007-05-12
Piper Jaffray Asia Futures Limited Rep
RA 2
2006-04-18 – 2006-08-12
UOB Kay Hian (Hong Kong) Limited Rep
RA 1
2006-04-18 – 2006-08-12
UOB Kay Hian Futures (Hong Kong) Limited Rep
RA 2
2003-04-01 – 2006-03-31
CITIC Securities (Hong Kong) Limited Rep
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/AHG557