Shen, Allan Hung Yat 沈鴻逸

證監會中央編號:AIC834

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
SG SECURITIES (HK) LIMITED	Rep	期貨合約交易	2018-11-23	-
	Rep	證券交易	2018-11-23	-
UBS SECURITIES ASIA LIMITED	Rep	期貨合約交易	2017-10-16	2017-11-22
	Rep	證券交易	2017-10-16	2017-11-22
SG SECURITIES (HK) LIMITED	Rep	期貨合約交易	2016-02-01	2017-07-05
	Rep	證券交易	2016-02-01	2017-07-05
Newedge Broker Hong Kong Limited	Rep	期貨合約交易	2015-07-20	2016-07-29
SG Asset Finance (Hong Kong) Limited	Rep	期貨合約交易	2015-07-20	2016-04-29
	Rep	證券交易	2015-07-20	2016-04-29
Jefferies Hong Kong Limited	Rep	證券交易	2013-01-08	2015-07-06
	Rep	期貨合約交易	2012-12-03	2015-07-06
HSBC BROKING FUTURES (HONG KONG) LIMITED	Rep	期貨合約交易	2009-07-06	2012-09-29
HSBC FUTURES (SINGAPORE) PTE LTD	Rep	就期貨合約提供意見	2009-07-06	2012-03-23
	Rep	期貨合約交易	2009-07-06	2012-03-23
Morgan Stanley Asia Limited	Rep	提供自動化交易服務	2007-08-01	2009-02-13
	Rep	證券交易	2007-08-01	2009-02-13
Morgan Stanley Hong Kong Futures Limited	Rep	提供自動化交易服務	2007-08-01	2009-02-13
	Rep	期貨合約交易	2007-08-01	2009-02-13
Morgan Stanley Hong Kong Securities Limited	Rep	證券交易	2007-08-01	2009-02-13
UBS DERIVATIVES HONG KONG LIMITED	Rep	期貨合約交易	2006-10-02	2007-06-30
UBS SECURITIES ASIA LIMITED	Rep	期貨合約交易	2006-10-02	2007-06-30
	Rep	證券交易	2006-10-02	2007-06-30
UBS SECURITIES HONG KONG LIMITED	Rep	證券交易	2006-10-02	2007-06-30
Credit Agricole Securities (Asia) Limited	Rep	證券交易	2005-03-03	2006-09-30
RBS Asia Futures Limited	Rep	期貨合約交易	2003-08-13	2006-09-30
HSBC BROKING FUTURES (HONG KONG) LIMITED	Rep	就期貨合約提供意見	2003-04-01	2003-08-01
	Rep	提供資產管理	2003-04-01	2003-08-01
	Rep	期貨合約交易	2003-04-01	2003-08-01
HSBC FUTURES (SINGAPORE) PTE LTD	Rep	就期貨合約提供意見	2003-04-01	2003-08-01
	Rep	提供資產管理	2003-04-01	2003-08-01
	Rep	期貨合約交易	2003-04-01	2003-08-01

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。

主要資料牌照與登記公開紀律行動

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
SG SECURITIES (HK) LIMITED	Rep	期貨合約交易	2018-11-23	-
	Rep	證券交易	2018-11-23	-
UBS SECURITIES ASIA LIMITED	Rep	期貨合約交易	2017-10-16	2017-11-22
	Rep	證券交易	2017-10-16	2017-11-22
SG SECURITIES (HK) LIMITED	Rep	期貨合約交易	2016-02-01	2017-07-05
	Rep	證券交易	2016-02-01	2017-07-05
Newedge Broker Hong Kong Limited	Rep	期貨合約交易	2015-07-20	2016-07-29
SG Asset Finance (Hong Kong) Limited	Rep	期貨合約交易	2015-07-20	2016-04-29
	Rep	證券交易	2015-07-20	2016-04-29
Jefferies Hong Kong Limited	Rep	證券交易	2013-01-08	2015-07-06
	Rep	期貨合約交易	2012-12-03	2015-07-06
HSBC BROKING FUTURES (HONG KONG) LIMITED	Rep	期貨合約交易	2009-07-06	2012-09-29
HSBC FUTURES (SINGAPORE) PTE LTD	Rep	就期貨合約提供意見	2009-07-06	2012-03-23
	Rep	期貨合約交易	2009-07-06	2012-03-23
Morgan Stanley Asia Limited	Rep	提供自動化交易服務	2007-08-01	2009-02-13
	Rep	證券交易	2007-08-01	2009-02-13
Morgan Stanley Hong Kong Futures Limited	Rep	提供自動化交易服務	2007-08-01	2009-02-13
	Rep	期貨合約交易	2007-08-01	2009-02-13
Morgan Stanley Hong Kong Securities Limited	Rep	證券交易	2007-08-01	2009-02-13
UBS DERIVATIVES HONG KONG LIMITED	Rep	期貨合約交易	2006-10-02	2007-06-30
UBS SECURITIES ASIA LIMITED	Rep	期貨合約交易	2006-10-02	2007-06-30
	Rep	證券交易	2006-10-02	2007-06-30
UBS SECURITIES HONG KONG LIMITED	Rep	證券交易	2006-10-02	2007-06-30
Credit Agricole Securities (Asia) Limited	Rep	證券交易	2005-03-03	2006-09-30
RBS Asia Futures Limited	Rep	期貨合約交易	2003-08-13	2006-09-30
HSBC BROKING FUTURES (HONG KONG) LIMITED	Rep	就期貨合約提供意見	2003-04-01	2003-08-01
	Rep	提供資產管理	2003-04-01	2003-08-01
	Rep	期貨合約交易	2003-04-01	2003-08-01
HSBC FUTURES (SINGAPORE) PTE LTD	Rep	就期貨合約提供意見	2003-04-01	2003-08-01
	Rep	提供資產管理	2003-04-01	2003-08-01
	Rep	期貨合約交易	2003-04-01	2003-08-01

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。