Personnel Hong Kong SFC License Details (ID 74889)

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	2024-09-06	2026-03-17
	Rep	證券交易	2024-09-06	2026-03-17
UBS SECURITIES HONG KONG LIMITED	Rep	期貨合約交易	2024-09-06	2026-03-17
	Rep	證券交易	2024-09-06	2026-03-17
Credit Suisse Securities (Hong Kong) Limited	RO	證券交易	2023-11-13	2026-03-17
Credit Suisse (Hong Kong) Limited	RO	期貨合約交易	2020-02-26	2026-03-17
	Rep	期貨合約交易	2019-10-03	2020-02-26
	RO	期貨合約交易	2016-09-02	2017-07-03
	RO	證券交易	2016-09-02	2026-03-17
	Rep	期貨合約交易	2016-04-22	2016-09-02
	Rep	證券交易	2016-04-22	2016-09-02
Citigroup Global Markets Asia Limited	Rep	證券交易	2004-06-24	2013-05-08
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	期貨合約交易	2004-06-24	2013-05-08
DEUTSCHE SECURITIES ASIA LIMITED	Rep	期貨合約交易	2004-03-30	2004-06-24
DEUTSCHE FUTURES HONG KONG LIMITED	Rep	期貨合約交易	2003-11-14	2004-06-24
DEUTSCHE SECURITIES ASIA LIMITED	Rep	證券交易	2003-11-14	2004-06-24
GOLDMAN SACHS (ASIA) L.L.C.	Rep	就機構融資提供意見	-	2003-10-09
	Rep	就證券提供意見	-	2003-10-09
	Rep	提供資產管理	-	2003-10-09
	Rep	證券交易	-	2003-10-09
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	就機構融資提供意見	-	2003-10-09
	Rep	就證券提供意見	-	2003-10-09
	Rep	提供資產管理	-	2003-10-09
	Rep	證券交易	-	2003-10-09
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	就期貨合約提供意見	-	2003-10-09
	Rep	提供資產管理	-	2003-10-09
	Rep	期貨合約交易	-	2003-10-09