Personnel Hong Kong SFC License Details (ID 110329)

Personnel Hong Kong SFC License Details (ID 110329)

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
Quester Securities (HK) Limited	RO	就证券提供意见	2024-06-03	2025-08-12
	RO	证券交易	2024-06-03	2025-08-12
Standard Chartered Securities (Hong Kong) Limited	Rep	就机构融资提供意见	2011-11-22	2013-05-16
	Rep	就证券提供意见	2011-11-22	2013-05-16
	Rep	证券交易	2011-11-22	2013-05-16
Merrill Lynch (Asia Pacific) Limited	Rep	就机构融资提供意见	2007-05-14	2011-08-23
	Rep	就证券提供意见	2007-05-14	2011-08-23
	Rep	证券交易	2007-05-14	2011-08-23
Merrill Lynch Far East Limited	Rep	就机构融资提供意见	2007-05-14	2011-08-23
	Rep	就证券提供意见	2007-05-14	2011-08-23
	Rep	证券交易	2007-05-14	2011-08-23
Credit Suisse (Hong Kong) Limited	Rep	就机构融资提供意见	2005-04-14	2007-03-22
	Rep	就证券提供意见	2005-04-14	2007-03-22
	Rep	证券交易	2005-04-14	2007-03-22
Credit Suisse Securities (Hong Kong) Limited	Rep	提供资产管理	-	2005-02-15
	Rep	就机构融资提供意见	-	2006-08-18
	Rep	就证券提供意见	-	2006-08-18