Personnel Hong Kong SFC License Details (ID 110795)

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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
SBI Securities (Hong Kong) Limited	RO	就证券提供意见	2018-09-12	2025-04-26
	RO	证券交易	2016-03-21	2025-04-26
	Rep	证券交易	2016-01-18	2016-03-21
Guosen Securities (HK) Brokerage Company, Limited	RO	就期货合约提供意见	2013-07-10	2015-09-18
	RO	就证券提供意见	2013-07-10	2015-09-18
	RO	期货合约交易	2013-07-10	2015-09-18
	RO	证券交易	2013-07-10	2015-09-18
BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED	Rep	期货合约交易	2012-01-20	2013-05-27
BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED	Rep	证券交易	2012-01-20	2013-05-27
BARCLAYS CAPITAL ASIA LIMITED	Rep	期货合约交易	2009-12-07	2011-08-17
	Rep	证券交易	2009-12-07	2011-08-17
Nomura Asia Investment (Hong Kong) Limited	Rep	期货合约交易	2008-11-28	2009-10-29
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	期货合约交易	2008-10-10	2009-10-29
	Rep	证券交易	2008-10-10	2009-10-29
LEHMAN BROTHERS SECURITIES ASIA LIMITED	Rep	证券交易	2008-05-21	2008-09-29
LEHMAN BROTHERS ASIA LIMITED	Rep	期货合约交易	2008-04-10	2008-09-29
	Rep	证券交易	2008-04-10	2008-09-29
LEHMAN BROTHERS FUTURES ASIA LIMITED	Rep	期货合约交易	2008-04-10	2008-09-29
Morgan Stanley Hong Kong Securities Limited	Rep	证券交易	2006-05-17	2008-03-11
Morgan Stanley Asia Limited	Rep	提供自动化交易服务	2005-10-10	2008-03-11
	Rep	证券交易	2005-10-10	2008-03-11
Morgan Stanley Hong Kong Futures Limited	Rep	提供自动化交易服务	2005-10-10	2008-03-11
	Rep	期货合约交易	2005-10-10	2008-03-11
DEUTSCHE SECURITIES ASIA LIMITED	Rep	就机构融资提供意见	-	2004-01-08
	Rep	提供资产管理	-	2004-01-08
	Rep	就证券提供意见	-	2004-04-17
	Rep	证券交易	-	2005-08-30

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