Personnel SFC Licences and HKMA Registrations (ID 82065)

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 (HONG KONG) LIMITED	RO	就證券提供意見	2013-01-24	-
	RO	證券交易	2012-08-01	-
SDIC SECURITIES FUTURES (HONG KONG) LIMITED	RO	期貨合約交易	2012-08-01	-
SDIC SECURITIES (HONG KONG) LIMITED	Rep	證券交易	2012-06-19	2012-08-01
	Rep	就證券提供意見	2012-06-19	2013-01-24
SDIC SECURITIES FUTURES (HONG KONG) LIMITED	Rep	期貨合約交易	2012-06-19	2012-08-01
HAITONG INTERNATIONAL FUTURES LIMITED	RO	期貨合約交易	2010-05-20	2012-06-08
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	就證券提供意見	2010-05-20	2012-06-08
	RO	證券交易	2010-05-20	2012-06-08
HAI TONG SECURITIES (HK) BROKERAGE LIMITED	RO	期貨合約交易	2009-01-16	2011-05-03
	RO	證券交易	2009-01-16	2011-05-03
	Rep	期貨合約交易	2008-10-09	2009-01-16
	Rep	證券交易	2008-10-09	2009-01-16
	Rep	就證券提供意見	2008-10-09	2011-01-07
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	就證券提供意見	2006-07-27	2008-09-30
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	Rep	期貨合約交易	2006-01-09	2008-09-30
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	證券交易	2006-01-09	2008-09-30
UOB KAY HIAN (HONG KONG) LIMITED	Rep	證券交易	2004-12-13	2005-12-30
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	期貨合約交易	2004-12-13	2005-12-30
BNP PARIBAS PEREGRINE FUTURES LIMITED	Rep	就期貨合約提供意見	2003-04-01	2004-02-04
	Rep	提供資產管理	2003-04-01	2004-02-04
	Rep	期貨合約交易	2003-04-01	2004-12-11
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	就機構融資提供意見	2003-04-01	2004-02-04
	Rep	就證券提供意見	2003-04-01	2004-02-04
	Rep	提供資產管理	2003-04-01	2004-02-04
	Rep	證券交易	2003-04-01	2004-12-11

金管局登記

金管局有關人士登記與證監會牌照獨立展示。EO 表示主管人員。

僅顯示現任登記

已採集記錄中暫無金管局登記。