Personnel Hong Kong SFC License Details (ID 104779)

Personnel Hong Kong SFC License Details (ID 104779)

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
RBC GLOBAL ASSET MANAGEMENT (ASIA) LIMITED	Rep	就证券提供意见	2008-05-16	2009-10-01
	Rep	提供资产管理	2008-05-16	2009-10-01
	Rep	证券交易	2008-05-16	2009-10-01
AIA WEALTH MANAGEMENT COMPANY LIMITED	Rep	就证券提供意见	2006-03-31	2008-05-16
	Rep	提供资产管理	2006-03-31	2008-05-16
	Rep	证券交易	2006-03-31	2008-05-16
BOCI-PRUDENTIAL ASSET MANAGEMENT LIMITED	Rep	就期货合约提供意见	2005-05-12	2006-03-17
	Rep	就证券提供意见	2005-05-12	2006-03-17
	Rep	提供资产管理	2005-05-12	2006-03-17
	Rep	证券交易	2005-04-19	2006-03-17
FT Securities Limited	Rep	证券交易	2005-01-28	2005-04-12
JEFFERIES BACHE (HONG KONG) LIMITED	Rep	期货合约交易	2005-01-28	2005-04-12
HANG SENG FUTURES LIMITED	Rep	就期货合约提供意见	2003-12-23	2005-01-19
	Rep	期货合约交易	2003-12-23	2005-01-19
HANG SENG INVESTMENT SERVICES LIMITED	Rep	就机构融资提供意见	-	2003-11-05
	Rep	提供资产管理	-	2004-12-03
	Rep	就证券提供意见	-	2005-01-19