Personnel SFC Licences and HKMA Registrations (ID 105115)

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。

显示机构旧称

仅显示现有牌照

机构	角色	受规管活动	开始日期	结束日期
QUAM ASSET MANAGEMENT LIMITED	Rep	就证券提供意见	2025-05-19	-
	Rep	证券交易	2025-05-19	-
Venture Smart Asia Limited	Rep	就证券提供意见	2017-12-20	2024-07-12
	Rep	提供资产管理	2017-12-20	2024-07-12
	Rep	证券交易	2017-12-20	2024-07-12
VONTOBEL WEALTH MANAGEMENT (HONG KONG) LIMITED	Rep	就证券提供意见	2013-09-30	2014-09-30
	Rep	证券交易	2013-09-30	2014-09-30
BOCI SECURITIES LIMITED	Rep	就证券提供意见	2011-10-27	2013-07-09
	Rep	证券交易	2011-10-27	2013-07-09
Merrill Lynch (Asia Pacific) Limited	Rep	证券交易	2008-06-12	2009-12-19
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	期货合约交易	2008-06-12	2009-12-19
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	证券交易	2005-03-24	2008-05-30
Citigroup Global Markets Asia Limited	Rep	证券交易	2005-03-01	2008-05-30
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	期货合约交易	2005-03-01	2008-05-30
FT Securities Limited	Rep	就机构融资提供意见	2003-04-01	2004-05-17
	Rep	就证券提供意见	2003-04-01	2004-05-17
	Rep	提供资产管理	2003-04-01	2004-05-17
	Rep	证券交易	2003-04-01	2005-02-24
JEFFERIES BACHE (HONG KONG) LIMITED	Rep	就期货合约提供意见	2003-04-01	2004-05-17
	Rep	提供资产管理	2003-04-01	2004-05-17
	Rep	期货合约交易	2003-04-01	2005-02-24

金管局登记

金管局有关人士登记与证监会牌照独立展示。EO 表示主管人员。

仅显示现任登记

已采集记录中暂无金管局登记。