Kim, Bum Soo Hong Kong SFC License Details (ID 111792)

Kim, Bum Soo Hong Kong SFC License Details (ID 111792)

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。

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
BARCLAYS CAPITAL ASIA LIMITED	Rep	期货合约交易	2017-08-07	-
	Rep	证券交易	2017-08-07	-
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	期货合约交易	2014-06-11	2017-03-03
	Rep	证券交易	2014-06-11	2017-03-03
Standard Chartered Securities (Hong Kong) Limited	Rep	就期货合约提供意见	2013-02-27	2014-03-29
	Rep	期货合约交易	2013-02-27	2014-03-29
Morgan Stanley Asia Limited	Rep	提供自动化交易服务	2006-04-18	2010-08-16
	Rep	证券交易	2006-04-18	2010-08-16
Morgan Stanley Hong Kong Futures Limited	Rep	提供自动化交易服务	2006-04-18	2010-08-16
	Rep	期货合约交易	2006-04-18	2010-08-16
Morgan Stanley Hong Kong Securities Limited	Rep	证券交易	2006-04-18	2010-08-16
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	证券交易	2004-09-14	2006-04-15
PARIBAS ASIA EQUITY LIMITED (TRADING AS PARIBAS)	Rep	证券交易	2004-09-14	2006-04-15
GOLDMAN SACHS (ASIA) L.L.C.	Rep	就机构融资提供意见	2003-04-01	2003-09-11
	Rep	就证券提供意见	2003-04-01	2003-09-11
	Rep	提供资产管理	2003-04-01	2003-09-11
	Rep	证券交易	2003-04-01	2003-09-11