Personnel Hong Kong SFC License Details (ID 81719)

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
SDIC SECURITIES CORPORATE FINANCE (HONG KONG) LIMITED	RO	證券交易	2019-08-15	-
SDIC SECURITIES (HONG KONG) LIMITED	RO	證券交易	2014-10-06	2020-12-28
SDIC SECURITIES CORPORATE FINANCE (HONG KONG) LIMITED	RO	就機構融資提供意見	2014-08-20	-
SDIC SECURITIES (HONG KONG) LIMITED	Rep	證券交易	2014-07-31	2014-10-06
SDIC SECURITIES CORPORATE FINANCE (HONG KONG) LIMITED	Rep	就機構融資提供意見	2014-07-31	2014-08-20
SINOPAC SECURITIES (ASIA) LIMITED	RO	就機構融資提供意見	2012-12-10	2014-06-30
	RO	證券交易	2012-12-10	2014-06-30
	Rep	就機構融資提供意見	2012-12-03	2012-12-10
	Rep	證券交易	2012-12-03	2012-12-10
GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED	RO	就機構融資提供意見	2011-06-15	2012-08-31
	RO	證券交易	2011-06-15	2012-08-31
	Rep	就機構融資提供意見	2011-05-17	2011-06-15
	Rep	證券交易	2011-05-17	2011-06-15
Mason Securities Limited	RO	就機構融資提供意見	2011-03-16	2011-04-06
	RO	證券交易	2011-03-16	2011-04-06
	Rep	就機構融資提供意見	2011-01-20	2011-03-16
	Rep	證券交易	2011-01-20	2011-03-16
CHINA EVERBRIGHT CAPITAL LIMITED	RO	就機構融資提供意見	2009-10-08	2010-12-14
	RO	證券交易	2009-10-08	2010-12-14
CHINA EVERBRIGHT SECURITIES (HK) LIMITED	RO	就機構融資提供意見	2009-10-08	2010-12-13
	RO	證券交易	2009-10-08	2010-12-13
CHINA EVERBRIGHT CAPITAL LIMITED	Rep	就機構融資提供意見	2009-08-11	2009-10-08
	Rep	證券交易	2009-08-11	2009-10-08
CHINA EVERBRIGHT SECURITIES (HK) LIMITED	Rep	就機構融資提供意見	2009-08-11	2009-10-08
	Rep	證券交易	2009-08-11	2009-10-08
CENTRAL CHINA INTERNATIONAL CAPITAL LIMITED	Rep	就機構融資提供意見	2009-07-24	2009-07-29
	Rep	證券交易	2009-07-24	2009-07-29
UOB ASIA (HONG KONG) LIMITED	RO	就機構融資提供意見	2005-11-24	2008-03-01
	RO	就證券提供意見	2005-11-24	2008-03-01
	RO	證券交易	2005-11-24	2008-03-01
	Rep	就機構融資提供意見	2005-08-03	2005-11-24
	Rep	就證券提供意見	2005-08-03	2005-11-24
	Rep	證券交易	2005-08-03	2005-11-24
DBS ASIA CAPITAL LIMITED	Rep	提供資產管理	2003-04-01	2005-02-15
	Rep	就機構融資提供意見	2003-04-01	2005-07-05
	Rep	就證券提供意見	2003-04-01	2005-07-05
	Rep	證券交易	2003-04-01	2005-07-05