Personnel Hong Kong SFC License Details (ID 68790)

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
CGS International Securities Hong Kong Limited	Rep	證券交易	2022-10-13	-
YUE XIU SECURITIES COMPANY LIMITED	Rep	證券交易	2019-01-04	2022-09-30
Sanford C. Bernstein (Hong Kong) Limited	RO	就證券提供意見	2011-09-28	2018-09-26
	RO	證券交易	2011-09-28	2018-09-26
AllianceBernstein Hong Kong Limited	Rep	就證券提供意見	2010-10-11	2011-10-24
	Rep	證券交易	2010-10-11	2011-10-24
MIZUHO SECURITIES ASIA LIMITED	Rep	就證券提供意見	2010-05-18	2010-07-31
	Rep	證券交易	2010-05-18	2010-07-31
ICAP Equities Asia Limited	RO	證券交易	2009-07-29	2010-05-05
	Rep	證券交易	2009-01-19	2009-07-29
	Rep	就證券提供意見	2009-01-19	2010-05-05
Credit Agricole Securities (Asia) Limited	Rep	證券交易	2003-06-12	2008-09-01
RBS Asia Securities (Hong Kong) Limited	Rep	證券交易	2003-06-12	2005-02-04
UBS SECURITIES ASIA LIMITED	Rep	就機構融資提供意見	2003-04-01	2003-04-10
	Rep	就證券提供意見	2003-04-01	2003-04-10
	Rep	提供資產管理	2003-04-01	2003-04-10
	Rep	證券交易	2003-04-01	2003-04-10
UBS SECURITIES HONG KONG LIMITED	Rep	就機構融資提供意見	2003-04-01	2003-04-10
	Rep	就證券提供意見	2003-04-01	2003-04-10
	Rep	提供資產管理	2003-04-01	2003-04-10
	Rep	證券交易	2003-04-01	2003-04-10