Personnel Hong Kong SFC License Details (ID 114136)

Personnel Hong Kong SFC License Details (ID 114136)

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
SKYVAST SECURITIES LIMITED	Rep	期货合约交易	2011-08-29	2013-09-03
	Rep	证券交易	2011-08-29	2013-09-03
SOUTHWEST SECURITIES (HK) ASSET MANAGEMENT LIMITED	Rep	提供资产管理	2010-12-21	2011-08-23
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	就证券提供意见	2010-11-26	2011-08-23
	Rep	证券交易	2010-11-26	2011-08-23
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	期货合约交易	2010-11-26	2011-08-23
PHILLIP COMMODITIES (HK) LIMITED	Rep	期货合约交易	2008-11-03	2010-11-06
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	证券交易	2007-10-05	2010-11-06
	Rep	就证券提供意见	2007-09-06	2010-11-06
KARL THOMSON INVESTMENT CONSULTANTS LIMITED	Rep	提供资产管理	2006-01-24	2007-06-04
	Rep	就证券提供意见	2005-02-15	2007-06-04
	Rep	就证券提供意见	2004-08-26	2004-11-08