Personnel Hong Kong SFC License Details (ID 75457)

Personnel Hong Kong SFC License Details (ID 75457)

主要資料證監會牌照公開紀律行動

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
KGI FUTURES (HONG KONG) LIMITED	Rep	期貨合約交易	2026-07-28	-
KGI ASIA LIMITED	Rep	證券交易	2026-05-08	-
ORIENTAL PATRON SECURITIES LIMITED	Rep	證券交易	2016-04-12	2024-02-01
China Galaxy International Futures (Hong Kong) Co., Limited	Rep	期貨合約交易	2016-02-19	2016-04-07
China Galaxy International Securities (Hong Kong) Co., Limited	Rep	證券交易	2016-02-19	2016-04-07
China Securities (International) Brokerage Company Limited	Rep	期貨合約交易	2015-09-14	2016-02-06
	Rep	證券交易	2015-09-14	2016-02-06
FRONTIER CAPITAL MANAGEMENT LIMITED (HK)	Rep	就證券提供意見	2015-02-13	2015-08-17
	Rep	提供資產管理	2015-02-13	2015-08-17
	Rep	證券交易	2015-02-13	2015-08-17
CLSA FUTURES LIMITED	Rep	期貨合約交易	2010-06-11	2013-07-18
CLSA LIMITED	Rep	證券交易	2010-06-11	2013-07-18
RBC INVESTMENT SERVICES (ASIA) LIMITED	Rep	就期貨合約提供意見	2009-06-25	2010-03-15
	Rep	期貨合約交易	2009-06-25	2010-03-15
	Rep	就證券提供意見	2009-03-02	2010-03-15
	Rep	證券交易	2009-03-02	2010-03-15