Personnel Hong Kong SFC License Details (ID 100409)

Personnel Hong Kong SFC License Details (ID 100409)

关键资料证监会牌照公开纪律行动

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没有开始日期的人士至少自现行登记册于2003年4月1日启用时起已担任该职位。

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机构	角色	受规管活动	开始日期	结束日期
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	Rep	就证券提供意见	2023-02-07	-
CLSA LIMITED	Rep	就证券提供意见	2021-03-24	2023-01-09
TFI Asset Management Limited	Rep	就证券提供意见	2017-04-19	2020-04-22
Aetas Global Markets Limited	Rep	证券交易	2014-05-05	2015-09-15
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	就证券提供意见	2014-01-15	2014-04-12
Sanford C. Bernstein (Hong Kong) Limited	Rep	就证券提供意见	2013-04-15	2014-01-11
	Rep	证券交易	2013-04-15	2014-01-11
Aetas Global Markets Limited	Rep	证券交易	2010-09-03	2011-12-23
CES Commodities (HK) Limited	Rep	期货合约交易	2009-01-29	2009-05-23
Everbright Securities Investment Services (HK) Limited	Rep	证券交易	2009-01-29	2009-05-23