Personnel Hong Kong SFC License Details (ID 90141)

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
Saxo Capital Markets HK Limited	RO	期貨合約交易	2020-03-23	2020-05-11
	RO	證券交易	2020-03-23	2020-05-11
	Rep	槓桿式外匯交易	2020-03-18	2020-05-11
	Rep	期貨合約交易	2020-02-24	2020-03-23
	Rep	證券交易	2020-02-24	2020-03-23
XHK Limited	RO	期貨合約交易	2019-01-29	2019-08-30
	RO	證券交易	2019-01-29	2019-08-30
Forwin Futures Group Limited	RO	期貨合約交易	2016-06-22	2016-09-30
Forwin Securities Group Limited	RO	證券交易	2015-09-21	2016-09-30
Newedge Broker Hong Kong Limited	Rep	期貨合約交易	2010-09-29	2015-02-27
SG Asset Finance (Hong Kong) Limited	Rep	期貨合約交易	2010-09-29	2015-02-27
	Rep	證券交易	2010-09-29	2015-02-27
De Riva Asia Limited	RO	期貨合約交易	2010-07-29	2010-09-20
	RO	證券交易	2010-07-29	2010-09-20
KGI ASIA LIMITED	Rep	證券交易	2006-07-04	2010-07-15
KGI FUTURES (HONG KONG) LIMITED	Rep	期貨合約交易	2006-07-04	2010-07-15
KGI SECURITIES (HONG KONG) LIMITED	Rep	證券交易	2006-07-04	2010-07-15
Newedge Broker Limited	Rep	提供自動化交易服務	2004-05-27	2006-03-10
	Rep	期貨合約交易	2004-04-16	2006-03-10
	Rep	證券交易	2004-04-16	2006-03-10
CES Commodities (HK) Limited	Rep	期貨合約交易	2004-01-31	2004-04-06
Everbright Securities Investment Services (HK) Limited	Rep	證券交易	2004-01-31	2004-04-06
AIA WEALTH MANAGEMENT COMPANY LIMITED	Rep	就機構融資提供意見	-	2003-05-20
	Rep	就證券提供意見	-	2003-05-20
	Rep	提供資產管理	-	2003-05-20
	Rep	證券交易	-	2003-05-20