Personnel Hong Kong SFC License Details (ID 127511)

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	證券交易	2025-05-23	2025-05-30
	RO	證券交易	2018-01-02	2022-02-28
UBS SECURITIES HONG KONG LIMITED	RO	證券交易	2018-01-02	2022-02-28
UBS SECURITIES ASIA LIMITED	Rep	證券交易	2017-03-06	2018-01-02
	Rep	期貨合約交易	2017-03-06	2022-02-28
UBS SECURITIES HONG KONG LIMITED	Rep	證券交易	2017-03-06	2018-01-02
	Rep	提供自動化交易服務	2017-03-06	2022-02-28
	Rep	期貨合約交易	2017-03-06	2022-02-28
J.P. MORGAN BROKING (HONG KONG) LIMITED	RO	就證券提供意見	2016-04-13	2016-09-13
	RO	證券交易	2016-04-13	2016-09-13
	RO	就期貨合約提供意見	2016-04-13	2016-12-06
	RO	期貨合約交易	2016-04-13	2016-12-06
J.P. MORGAN SECURITIES (FAR EAST) LIMITED	RO	就證券提供意見	2016-04-13	2016-12-06
	RO	證券交易	2016-04-13	2016-12-06
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	就期貨合約提供意見	2013-07-22	2016-04-13
	Rep	就證券提供意見	2013-07-22	2016-04-13
	Rep	期貨合約交易	2013-07-22	2016-04-13
	Rep	證券交易	2013-07-22	2016-04-13
J.P. MORGAN SECURITIES (FAR EAST) LIMITED	Rep	就證券提供意見	2013-07-22	2016-04-13
	Rep	證券交易	2013-07-22	2016-04-13
Merrill Lynch (Asia Pacific) Limited	Rep	證券交易	2011-10-17	2013-04-20
Merrill Lynch Far East Limited	Rep	期貨合約交易	2011-10-17	2013-04-20
	Rep	證券交易	2011-10-17	2013-04-20
Knight Capital Asia Limited	Rep	證券交易	2009-01-23	2011-08-19