Personnel Hong Kong SFC License Details (ID 115242)

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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
THORNBURG INVESTMENT MANAGEMENT (ASIA) LIMITED	RO	提供资产管理	2022-09-30	-
	RO	证券交易	2020-10-20	-
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG ASSET MANAGEMENT LIMITED	Rep	提供资产管理	2017-09-15	2019-04-02
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED	Rep	就期货合约提供意见	2017-07-19	2019-04-02
	Rep	期货合约交易	2017-07-19	2019-04-02
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	就证券提供意见	2017-07-19	2019-04-02
	Rep	证券交易	2017-07-19	2019-04-02
SG SECURITIES (HK) LIMITED	Rep	证券交易	2015-12-08	2017-05-12
CTI Capital Hong Kong Limited	Rep	就证券提供意见	2015-03-16	2015-10-12
	Rep	提供资产管理	2015-03-16	2015-10-12
Standard Chartered Securities (Hong Kong) Limited	Rep	就期货合约提供意见	2013-02-14	2013-05-07
	Rep	期货合约交易	2013-02-14	2013-05-07
	Rep	证券交易	2012-07-19	2013-05-07
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	就期货合约提供意见	2008-07-14	2010-03-25
	Rep	就证券提供意见	2008-07-14	2010-03-25
	Rep	期货合约交易	2008-06-18	2010-03-25
	Rep	证券交易	2008-06-18	2010-03-25
BEAR STEARNS ASIA LIMITED	Rep	期货合约交易	2008-04-30	2009-11-23
	Rep	证券交易	2008-03-12	2009-11-23
BARCLAYS CAPITAL ASIA LIMITED	Rep	证券交易	2007-04-09	2008-02-29
Citigroup Global Markets Asia Limited	Rep	证券交易	2005-02-01	2007-03-09

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