Personnel Hong Kong SFC License Details (ID 103214)

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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
ORIENT CAPITAL (HONG KONG) LIMITED	RO	就机构融资提供意见	2026-04-20	-
ORIENT SECURITIES (HONG KONG) LIMITED	RO	就证券提供意见	2026-04-20	-
	RO	证券交易	2026-04-20	-
ORIENT CAPITAL (HONG KONG) LIMITED	Rep	就机构融资提供意见	2026-01-19	2026-04-20
ORIENT SECURITIES (HONG KONG) LIMITED	Rep	就证券提供意见	2026-01-19	2026-04-20
	Rep	证券交易	2026-01-19	2026-04-20
China Galaxy International Securities (Hong Kong) Co., Limited	RO	就机构融资提供意见	2022-10-17	2025-09-15
	RO	就证券提供意见	2022-10-17	2025-09-15
	RO	证券交易	2022-10-17	2025-09-15
	Rep	就机构融资提供意见	2022-09-13	2022-10-17
	Rep	证券交易	2022-09-13	2022-10-17
SPDB International Capital Limited	RO	证券交易	2016-05-13	2022-07-12
	RO	就机构融资提供意见	2016-02-23	2022-07-12
CHINA INDUSTRIAL SECURITIES INTERNATIONAL CAPITAL LIMITED	RO	就机构融资提供意见	2013-01-09	2015-11-21
	RO	证券交易	2013-01-09	2015-11-21
CHINA INDUSTRIAL SECURITIES INTERNATIONAL BROKERAGE LIMITED	Rep	就证券提供意见	2012-10-18	2013-02-22
	Rep	证券交易	2012-10-18	2013-02-22
GUOSEN SECURITIES (HK) CAPITAL COMPANY LIMITED	Rep	就机构融资提供意见	2011-09-19	2012-08-21
	Rep	证券交易	2011-09-19	2012-08-21
KGI CAPITAL ASIA LIMITED	Rep	就机构融资提供意见	2008-06-03	2011-09-05
	Rep	证券交易	2008-06-03	2011-09-05
AISANCE ASSET MANAGEMENT LIMITED	Rep	就期货合约提供意见	2003-04-01	2004-06-03
	Rep	提供资产管理	2003-04-01	2004-06-03
	Rep	期货合约交易	2003-04-01	2004-06-03
KGI ASIA LIMITED	Rep	就机构融资提供意见	2003-04-01	2004-06-03
	Rep	就证券提供意见	2003-04-01	2004-06-03
	Rep	提供资产管理	2003-04-01	2004-06-03
	Rep	证券交易	2003-04-01	2008-05-16
KGI FUTURES (HONG KONG) LIMITED	Rep	就期货合约提供意见	2003-04-01	2004-06-03
	Rep	提供资产管理	2003-04-01	2004-06-03
	Rep	期货合约交易	2003-04-01	2008-05-16
KGI SECURITIES (HONG KONG) LIMITED	Rep	提供自动化交易服务	2003-04-01	2003-07-21
	Rep	就机构融资提供意见	2003-04-01	2004-06-03
	Rep	就证券提供意见	2003-04-01	2004-06-03
	Rep	提供资产管理	2003-04-01	2004-06-03
	Rep	证券交易	2003-04-01	2008-05-16

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