Personnel SFC Licences and HKMA Registrations (ID 113852)

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
UBS SECURITIES ASIA LIMITED	Rep	期貨合約交易	2022-10-25	-
	Rep	證券交易	2022-10-25	-
UBS SECURITIES HONG KONG LIMITED	Rep	期貨合約交易	2022-10-25	-
	Rep	證券交易	2022-10-25	-
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	期貨合約交易	2018-07-26	2022-06-27
	Rep	證券交易	2018-07-26	2022-06-27
UBS SECURITIES HONG KONG LIMITED	Rep	期貨合約交易	2016-12-19	2018-04-28
	Rep	證券交易	2016-12-19	2018-04-28
UBS DERIVATIVES HONG KONG LIMITED	Rep	期貨合約交易	2013-04-11	2016-12-18
UBS SECURITIES HONG KONG LIMITED	Rep	證券交易	2013-04-11	2016-12-18
UBS SECURITIES ASIA LIMITED	Rep	期貨合約交易	2011-11-08	2018-04-28
	Rep	證券交易	2011-11-08	2018-04-28
UBS DERIVATIVES HONG KONG LIMITED	Rep	期貨合約交易	2011-03-22	2011-04-15
UBS SECURITIES ASIA LIMITED	Rep	期貨合約交易	2011-03-22	2011-04-15
	Rep	證券交易	2011-03-22	2011-04-15
UBS SECURITIES HONG KONG LIMITED	Rep	證券交易	2011-03-22	2011-04-15
Credit Suisse (Hong Kong) Limited	Rep	提供自動化交易服務	2008-12-23	2010-02-19
	Rep	期貨合約交易	2008-12-23	2010-02-19
	Rep	證券交易	2008-12-23	2010-02-19
Credit Suisse Securities (Hong Kong) Limited	Rep	證券交易	2008-12-23	2010-02-19
	Rep	證券交易	2006-04-13	2006-08-28
Credit Suisse Futures (Hong Kong) Limited	Rep	提供自動化交易服務	2005-04-14	2006-08-28
Credit Suisse (Hong Kong) Limited	Rep	證券交易	2004-05-07	2006-08-28
Credit Suisse Futures (Hong Kong) Limited	Rep	期貨合約交易	2004-05-07	2006-08-28

金管局登記

金管局有關人士登記與證監會牌照獨立展示。EO 表示主管人員。

僅顯示現任登記

已採集記錄中暫無金管局登記。