Lau, Elaine Yim Ling 劉艷玲 Hong Kong SFC License Details (ID 96040)

Lau, Elaine Yim Ling 劉艷玲 Hong Kong SFC License Details (ID 96040)

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
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	RO	就證券提供意見	2021-02-24	2022-09-30
	RO	證券交易	2020-11-06	2022-09-30
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	RO	期貨合約交易	2020-11-06	2022-09-30
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	證券交易	2020-08-13	2020-11-06
	Rep	就證券提供意見	2020-08-13	2021-02-24
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	期貨合約交易	2020-08-13	2020-11-06
CES Commodities (HK) Limited	Rep	期貨合約交易	2019-07-16	2020-05-31
Everbright Securities Investment Services (HK) Limited	Rep	就證券提供意見	2019-07-16	2020-05-31
	Rep	證券交易	2019-07-16	2020-05-31
SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED	Rep	就證券提供意見	2008-01-23	2018-09-04
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	RO	期貨合約交易	2008-01-23	2018-09-04
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	證券交易	2007-03-21	2018-09-04
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	期貨合約交易	2007-03-21	2008-01-23
	RO	期貨合約交易	2003-06-05	2005-10-01
	Rep	就期貨合約提供意見	-	2003-04-30
	Rep	提供資產管理	-	2003-04-30
	Rep	期貨合約交易	-	2003-06-05