Personnel Hong Kong SFC License Details (ID 102671)

Personnel Hong Kong SFC License Details (ID 102671)

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
AXA CHINA REGION INVESTMENT SERVICES LIMITED	Rep	证券交易	2006-03-16	2007-11-01
	Rep	就证券提供意见	2005-09-08	2007-11-01
FWD Life Insurance Company (Bermuda) Limited	Rep	就证券提供意见	2004-08-05	2005-06-29
BOCI COMMODITIES &AMP; FUTURES LIMITED	Rep	期货合约交易	2004-05-19	2004-06-01
BOCI SECURITIES LIMITED	Rep	证券交易	2004-05-19	2004-06-01
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	证券交易	2004-04-16	2004-05-03
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	期货合约交易	2004-04-16	2004-05-03
SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED	Rep	就证券提供意见	2004-02-09	2004-05-03
Network Financial Services Limited	Rep	就证券提供意见	2003-06-05	2004-02-04
Funderstone Futures Limited	Rep	就期货合约提供意见	-	2003-04-17
	Rep	提供资产管理	-	2003-04-17
	Rep	期货合约交易	-	2003-04-17
Funderstone Securities Limited	Rep	就机构融资提供意见	-	2003-04-17
	Rep	就证券提供意见	-	2003-04-17
	Rep	提供资产管理	-	2003-04-17
	Rep	证券交易	-	2003-04-17