Personnel SFC Licences and HKMA Registrations (ID 94611)

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
HSBC BROKING SECURITIES (ASIA) LIMITED	RO	就證券提供意見	2026-11-02	-
	RO	期貨合約交易	2026-11-02	-
	RO	證券交易	2026-11-02	-
	RO	槓桿式外匯交易	2026-11-02	-
	RO	就證券提供意見	2026-08-03	2026-11-01
	RO	證券交易	2026-08-03	2026-11-01
HSBC BROKING SECURITIES (HONG KONG) LIMITED	RO	證券交易	2021-04-12	2026-08-02
HSBC BROKING SECURITIES (ASIA) LIMITED	RO	就證券提供意見	2017-11-21	2026-08-02
	Rep	就證券提供意見	2015-04-02	2017-11-21
HSBC BROKING FOREX (ASIA) LIMITED	RO	槓桿式外匯交易	2014-07-29	2026-11-01
HSBC BROKING FUTURES (ASIA) LIMITED	RO	期貨合約交易	2014-07-29	2026-11-01
HSBC BROKING SECURITIES (ASIA) LIMITED	RO	證券交易	2014-07-29	2026-08-02
HSBC BROKING SECURITIES (HONG KONG) LIMITED	RO	證券交易	2014-07-29	2017-07-16
HSBC BROKING FOREX (ASIA) LIMITED	Rep	槓桿式外匯交易	2014-07-04	2014-07-29
HSBC BROKING FUTURES (ASIA) LIMITED	Rep	期貨合約交易	2014-07-04	2014-07-29
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	證券交易	2014-07-04	2014-07-29
HSBC BROKING SECURITIES (HONG KONG) LIMITED	Rep	證券交易	2014-07-04	2014-07-29
CES Forex (HK) Limited	Rep	槓桿式外匯交易	2011-08-08	2014-06-12
Everbright Securities Digital Finance (HK) Limited	RO	證券交易	2011-08-08	2014-06-12
Bright Fund Management Limited	Rep	提供資產管理	2011-05-19	2014-06-12
Everbright Securities Investment Services (HK) Limited	RO	就證券提供意見	2010-09-01	2014-06-12
CES Commodities (HK) Limited	RO	期貨合約交易	2005-07-28	2014-06-12
Everbright Securities Investment Services (HK) Limited	Rep	就證券提供意見	2005-07-28	2010-09-01
	RO	證券交易	2005-07-28	2014-06-12
Bright Fund Management Limited	Rep	就機構融資提供意見	2003-04-01	2003-11-26
	Rep	提供資產管理	2003-04-01	2003-11-26
	Rep	就證券提供意見	2003-04-01	2005-07-28
	Rep	證券交易	2003-04-01	2005-07-28
CES Commodities (HK) Limited	Rep	就期貨合約提供意見	2003-04-01	2003-11-26
	Rep	提供資產管理	2003-04-01	2003-11-26
	Rep	期貨合約交易	2003-04-01	2005-07-28
Everbright Securities Investment Services (HK) Limited	Rep	提供自動化交易服務	2003-04-01	2003-07-07
	Rep	就機構融資提供意見	2003-04-01	2003-11-26
	Rep	就證券提供意見	2003-04-01	2003-11-26
	Rep	提供資產管理	2003-04-01	2003-11-26
	Rep	證券交易	2003-04-01	2005-07-28
SUN TAI CHEUNG CREDITS LIMITED	RO	提供證券保證金融資	2003-04-01	2004-10-21

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。