Personnel Hong Kong SFC License Details (ID 111239)

Personnel Hong Kong SFC License Details (ID 111239)

关键资料证监会牌照公开纪律行动

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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
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	期货合约交易	2010-02-03	2010-06-12
Nomura Asia Investment (Hong Kong) Limited	Rep	期货合约交易	2008-12-08	2010-02-19
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	证券交易	2008-12-08	2010-06-12
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	期货合约交易	2008-10-10	2010-06-12
	Rep	证券交易	2008-10-10	2010-06-12
LEHMAN BROTHERS ASIA LIMITED	Rep	期货合约交易	2006-10-26	2008-09-29
	Rep	证券交易	2006-10-26	2008-09-29
Macquarie Asia Securities Limited	Rep	期货合约交易	2005-08-15	2006-08-30
MACQUARIE EQUITIES (ASIA) LIMITED	Rep	就机构融资提供意见	-	2004-01-21
	Rep	就证券提供意见	-	2004-01-21
	Rep	提供资产管理	-	2004-01-21
	Rep	证券交易	-	2006-08-30