Personnel Hong Kong SFC License Details (ID 104568)

Personnel Hong Kong SFC License Details (ID 104568)

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
EFG Asset Management (HK) Limited	Rep	就证券提供意见	2009-09-04	2010-12-01
	Rep	提供资产管理	2009-09-04	2010-12-01
Nomura Asia Investment (Hong Kong) Limited	Rep	期货合约交易	2008-12-10	2009-04-08
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	证券交易	2008-12-10	2009-04-08
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	期货合约交易	2008-10-10	2009-04-08
	Rep	证券交易	2008-10-10	2009-04-08
LEHMAN BROTHERS ASIA LIMITED	RO	证券交易	2006-04-10	2008-09-29
LEHMAN BROTHERS SECURITIES ASIA LIMITED	RO	证券交易	2006-04-10	2008-09-29
LEHMAN BROTHERS ASIA LIMITED	Rep	期货合约交易	2004-02-24	2008-09-29
	Rep	证券交易	2003-08-20	2006-04-10
LEHMAN BROTHERS SECURITIES ASIA LIMITED	Rep	证券交易	2003-08-20	2006-04-10
GOLDMAN SACHS (ASIA) L.L.C.	Rep	就机构融资提供意见	-	2003-05-16
	Rep	就证券提供意见	-	2003-05-16
	Rep	提供资产管理	-	2003-05-16
	Rep	证券交易	-	2003-05-16