Personnel Hong Kong SFC License Details (ID 104293)

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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
RBC GLOBAL ASSET MANAGEMENT (ASIA) LIMITED	Rep	就证券提供意见	2014-03-19	2017-08-01
	Rep	证券交易	2014-03-19	2017-08-01
RBC INVESTMENT SERVICES (ASIA) LIMITED	Rep	就期货合约提供意见	2014-03-19	2025-01-13
	Rep	就证券提供意见	2014-03-19	2025-01-13
	Rep	期货合约交易	2014-03-19	2025-01-13
	Rep	证券交易	2014-03-19	2025-01-13
DELTA ASIA FINANCIAL FUTURES LIMITED	Rep	期货合约交易	2013-03-15	2013-06-03
DELTA ASIA SECURITIES LIMITED	Rep	证券交易	2013-03-15	2013-06-03
Delta Asia Wealth Management Limited	Rep	提供资产管理	2013-03-15	2013-06-03
CLARIDEN LEU ASSET MANAGEMENT (HONG KONG) LIMITED	Rep	证券交易	2009-02-23	2011-06-30
	Rep	就期货合约提供意见	2007-10-26	2011-02-01
	Rep	就证券提供意见	2007-10-26	2011-06-30
	Rep	提供资产管理	2007-10-26	2011-06-30
SARASIN RABO INVESTMENT MANAGEMENT LIMITED	Rep	就证券提供意见	2004-05-19	2004-07-29
	Rep	证券交易	2004-05-19	2004-07-29
DBS VICKERS SECURITIES ONLINE (HK) LIMITED	Rep	就机构融资提供意见	-	2004-02-25
	Rep	就证券提供意见	-	2004-02-25
	Rep	提供资产管理	-	2004-02-25
	Rep	证券交易	-	2004-02-25
TD WATERHOUSE INVESTOR SERVICES (HONG KONG) INC. TD WATERHOUSE INVESTOR SERVICES (HONG KONG) INC.	Rep	就机构融资提供意见	-	2003-11-07
	Rep	就证券提供意见	-	2003-11-07
	Rep	提供资产管理	-	2003-11-07
	Rep	证券交易	-	2003-11-07

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