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TSE Tak Wai

謝德偉
CE AXR837Licensed IndividualResponsible OfficerSFO licence active
Official SFC record

TSE Tak Wai (CE number AXR837) is an individual licensed by the Hong Kong SFC. First licensed on 2011-07-26. Their SFC licence is currently active. Accredited for regulated activities Type 1 (Securities dealing), Type 4 (Advising on securities), Type 6 (Corporate finance). Currently a responsible officer at 1 firm.

Regulated Activities (on record) (3)

RA 1 Dealing in Securities
RA 4 Advising on Securities
RA 6 Advising on Corporate Finance

Roles & Accreditations (1)

CapacityCompany / Institution
Responsible OfficerRothschild & Co Hong Kong Limited
羅斯柴爾德恩可香港有限公司

Licence Record (3)

2023-09-01 – present Current
Rothschild & Co Hong Kong Limited RO
RA 1 RA 4 RA 6
2018-09-24 – 2023-09-01
Rothschild & Co Hong Kong Limited Rep
RA 1 RA 4 RA 6
2011-07-26 – 2018-06-15
Morgan Stanley Asia Limited Rep
RA 1 RA 6

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/AXR837