Personnel Hong Kong SFC License Details (ID 111546)

Personnel Hong Kong SFC License Details (ID 111546)

主要資料證監會牌照公開紀律行動

證監會牌照

沒有開始日期的人士至少自現行登記冊於2003年4月1日啟用時起已擔任該職位。

顯示機構舊稱

只顯示現有牌照

機構	角色	受規管活動	開始日期	結束日期
Vantage Capital Markets HK Limited	Rep	期貨合約交易	2020-11-05	2022-04-21
	Rep	證券交易	2020-11-05	2022-04-21
Citigroup Global Markets Asia Limited	Rep	期貨合約交易	2013-07-08	2019-03-22
	Rep	證券交易	2012-03-06	2019-03-22
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	期貨合約交易	2012-03-06	2013-08-31
	Rep	證券交易	2012-03-06	2013-08-31
Citigroup Global Markets Asia Limited	Rep	證券交易	2009-04-15	2009-08-01
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	期貨合約交易	2009-04-15	2009-08-01
	Rep	證券交易	2009-04-15	2009-08-01
Nomura Asia Investment (Hong Kong) Limited	Rep	期貨合約交易	2008-06-12	2008-12-10
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	期貨合約交易	2008-06-12	2008-12-10
	Rep	證券交易	2006-10-03	2008-12-10
Credit Suisse (Hong Kong) Limited	Rep	證券交易	2005-04-14	2006-08-01
Credit Suisse Securities (Hong Kong) Limited	Rep	提供自動化交易服務	-	2003-08-22
	Rep	就機構融資提供意見	-	2005-02-15
	Rep	就證券提供意見	-	2005-02-15
	Rep	提供資產管理	-	2005-02-15
	Rep	證券交易	-	2006-08-01