Personnel Hong Kong SFC License Details (ID 92467)

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
FOUNDER SECURITIES (HONG KONG) LIMITED	RO	就證券提供意見	2019-02-01	2019-09-16
FOUNDER FUTURES (HONG KONG) LIMITED	RO	期貨合約交易	2019-01-25	2019-09-16
FOUNDER SECURITIES (HONG KONG) LIMITED	RO	證券交易	2019-01-25	2019-09-16
FOUNDER FUTURES (HONG KONG) LIMITED	Rep	期貨合約交易	2018-11-27	2019-01-25
FOUNDER SECURITIES (HONG KONG) LIMITED	Rep	證券交易	2018-11-27	2019-01-25
Soochow Securities International Brokerage Limited	RO	就證券提供意見	2017-11-22	2018-08-07
Soochow Securities International Futures Limited	RO	就期貨合約提供意見	2017-11-22	2018-08-07
Soochow Securities International Brokerage Limited	RO	證券交易	2014-01-03	2018-08-07
Soochow Securities International Futures Limited	RO	期貨合約交易	2014-01-03	2018-08-07
PING AN SECURITIES (HONG KONG) FUTURES COMPANY LIMITED	RO	期貨合約交易	2013-07-03	2013-11-15
Ping An Securities (Hong Kong) Holdings Company Limited	RO	證券交易	2013-07-03	2013-11-15
PING AN SECURITIES (HONG KONG) FUTURES COMPANY LIMITED	Rep	期貨合約交易	2013-03-08	2013-07-03
Ping An Securities (Hong Kong) Holdings Company Limited	Rep	證券交易	2013-03-08	2013-07-03
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	Rep	期貨合約交易	2011-12-20	2012-04-13
	Rep	證券交易	2011-12-20	2012-04-13
Yuanta Asia Investment (Hong Kong) Limited	Rep	期貨合約交易	2008-09-09	2011-12-10
	Rep	證券交易	2008-09-09	2011-12-10
CES Commodities (HK) Limited	Rep	就期貨合約提供意見	-	2004-01-20
	Rep	提供資產管理	-	2004-01-20
	Rep	期貨合約交易	-	2008-08-23
Everbright Securities Investment Services (HK) Limited	Rep	提供自動化交易服務	-	2003-07-07
	Rep	就機構融資提供意見	-	2004-01-20
	Rep	就證券提供意見	-	2004-01-20
	Rep	提供資產管理	-	2004-01-20
	Rep	證券交易	-	2008-08-23