Personnel Hong Kong SFC License Details (ID 90667)

Personnel Hong Kong SFC License Details (ID 90667)

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
BARCLAYS CAPITAL ASIA LIMITED	Rep	期貨合約交易	2015-04-13	2015-04-24
	Rep	證券交易	2015-04-13	2015-04-24
	Rep	期貨合約交易	2013-11-26	2015-01-01
	Rep	證券交易	2013-11-26	2015-01-01
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	期貨合約交易	2010-11-29	2011-11-17
	Rep	證券交易	2010-11-29	2011-11-17
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	期貨合約交易	2010-11-29	2011-11-17
	Rep	證券交易	2010-11-29	2011-11-17
Nomura Asia Investment (Hong Kong) Limited	Rep	期貨合約交易	2008-12-10	2009-09-14
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	證券交易	2008-12-10	2009-09-14
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	期貨合約交易	2008-10-10	2009-09-14
	Rep	證券交易	2008-10-10	2009-09-14
LEHMAN BROTHERS ASIA LIMITED	Rep	期貨合約交易	2006-08-15	2008-09-29
	Rep	證券交易	2006-08-15	2008-09-29