Personnel Hong Kong SFC License Details (ID 101115)

Personnel Hong Kong SFC License Details (ID 101115)

关键资料证监会牌照公开纪律行动

证监会牌照

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
Nomura Asia Investment (Hong Kong) Limited	RO	期货合约交易	2008-08-28	2009-04-23
NOMURA INTERNATIONAL (HONG KONG) LIMITED	RO	就机构融资提供意见	2008-08-28	2009-04-20
	RO	就期货合约提供意见	2008-08-28	2009-04-20
	RO	就证券提供意见	2008-08-28	2009-04-20
	RO	期货合约交易	2008-08-28	2009-04-20
	RO	证券交易	2008-08-28	2009-04-20
NOMURA SECURITIES (HONG KONG) LIMITED	RO	证券交易	2008-08-28	2009-04-23
Nomura Asia Investment (Hong Kong) Limited	Rep	期货合约交易	2008-04-15	2008-08-28
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	就机构融资提供意见	2008-04-15	2008-08-28
	Rep	就期货合约提供意见	2008-04-15	2008-08-28
	Rep	就证券提供意见	2008-04-15	2008-08-28
	Rep	期货合约交易	2008-04-15	2008-08-28
	Rep	证券交易	2008-04-15	2008-08-28
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	证券交易	2008-04-15	2008-08-28
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	就机构融资提供意见	-	2004-01-29
	Rep	就证券提供意见	-	2004-01-29
	Rep	提供资产管理	-	2004-01-29
	Rep	证券交易	-	2004-01-29