Personnel Hong Kong SFC License Details (ID 49569)

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
ALETHEIA TECHNOLOGIES LIMITED (HK)	Rep	就證券提供意見	2014-10-15	2014-10-16
	RO	就證券提供意見	2014-08-22	2014-10-15
	Rep	就期貨合約提供意見	2014-04-30	2014-06-10
	Rep	就證券提供意見	2014-04-30	2014-08-22
Daiwa Capital Markets Hong Kong Limited	Rep	就證券提供意見	2011-06-15	2012-08-29
DAIWA INSTITUTE OF RESEARCH (HONG KONG) LIMITED	Rep	就證券提供意見	2011-06-15	2012-01-30
Everbright Securities Investment Services (HK) Limited	Rep	就證券提供意見	2010-11-03	2011-01-20
AT Asset Management (Asia-Pacific) Limited	RO	提供資產管理	2006-10-06	2008-12-31
Legg Mason Asset Management Hong Kong Limited	RO	就期貨合約提供意見	2005-04-04	2005-08-01
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED (TRADING AS ESEMPLIA; ESEMPLIA EMERGING MARKETS)	RO	就期貨合約提供意見	2005-04-04	2005-08-01
Legg Mason Asset Management Hong Kong Limited	RO	提供資產管理	2005-01-24	2005-07-24
	RO	就證券提供意見	2005-01-24	2005-08-01
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED (TRADING AS ESEMPLIA; ESEMPLIA EMERGING MARKETS)	RO	提供資產管理	2005-01-24	2005-07-24
	RO	就證券提供意見	2005-01-24	2005-08-01
	RO	證券交易	2005-01-24	2005-08-01
Legg Mason Asset Management Hong Kong Limited	Rep	就證券提供意見	2004-11-30	2005-01-24
	Rep	提供資產管理	2004-11-30	2005-01-24
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED (TRADING AS ESEMPLIA; ESEMPLIA EMERGING MARKETS)	Rep	就證券提供意見	2004-11-30	2005-01-24
	Rep	提供資產管理	2004-11-30	2005-01-24
	Rep	證券交易	2004-11-30	2005-01-24