Personnel Hong Kong SFC License Details (ID 92030)

Personnel Hong Kong SFC License Details (ID 92030)

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。

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機構	角色	受規管活動	開始日期	結束日期
Quam Securities Limited	Rep	提供資產管理	2026-03-13	-
	Rep	期貨合約交易	2026-03-13	-
	Rep	證券交易	2024-01-08	-
Lego Securities Limited	Rep	證券交易	2023-05-03	2023-12-05
Realord Asia Pacific Securities Limited	Rep	證券交易	2020-04-23	2023-04-24
SHANXI SECURITIES INTERNATIONAL ASSET MANAGEMENT LIMITED	Rep	提供資產管理	2019-02-14	2020-04-03
SHANXI SECURITIES INTERNATIONAL FUTURES LIMITED	Rep	期貨合約交易	2019-02-14	2020-04-03
SHANXI SECURITIES INTERNATIONAL LIMITED	Rep	證券交易	2019-02-14	2020-04-03
Quam Securities Limited	Rep	提供資產管理	2017-06-16	2019-01-03
QUAM ASSET MANAGEMENT LIMITED	Rep	就證券提供意見	2013-04-22	2018-08-06
Quam Securities Limited	Rep	期貨合約交易	2012-10-16	2019-01-03
	Rep	證券交易	2012-10-16	2019-01-03
PHILLIP COMMODITIES (HK) LIMITED	Rep	期貨合約交易	2012-07-31	2012-10-06
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	證券交易	2010-01-18	2012-10-06