Personnel Hong Kong SFC License Details (ID 94870)

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
Ovata Capital Management Limited	Rep	提供資產管理	2024-05-13	2025-10-17
FLOW TRADERS HONG KONG LIMITED	Rep	期貨合約交易	2023-02-16	2023-05-08
	Rep	證券交易	2023-02-16	2023-05-08
Merrill Lynch (Asia Pacific) Limited	Rep	證券交易	2015-07-14	2022-10-05
Merrill Lynch Far East Limited	Rep	期貨合約交易	2015-07-14	2022-10-05
	Rep	證券交易	2015-07-14	2022-10-05
CSOP Asset Management Limited	Rep	就證券提供意見	2012-05-23	2015-07-10
	Rep	提供資產管理	2012-05-23	2015-07-10
SOFAER GLOBAL RESEARCH (HK) LIMITED	Rep	就證券提供意見	2011-08-12	2012-05-16
	Rep	提供資產管理	2011-08-12	2012-05-16
Neuberger Berman Asia Limited	Rep	就證券提供意見	2011-05-19	2011-07-11
	Rep	提供資產管理	2011-05-19	2011-07-11
	Rep	證券交易	2011-05-19	2011-07-11
SOFAER GLOBAL RESEARCH (HK) LIMITED	Rep	就期貨合約提供意見	2008-09-05	2010-12-11
	Rep	就證券提供意見	2008-09-05	2011-05-13
	Rep	提供資產管理	2008-09-05	2011-05-13
HSBC BROKING FOREX (ASIA) LIMITED	Rep	槓桿式外匯交易	2008-07-24	2008-08-01
HSBC BROKING FUTURES (ASIA) LIMITED	Rep	期貨合約交易	2008-06-23	2008-08-01
HSBC BROKING FUTURES (HONG KONG) LIMITED	Rep	期貨合約交易	2008-06-23	2008-08-01
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	證券交易	2008-06-23	2008-08-01