Personnel Hong Kong SFC License Details (ID 116100)

Personnel Hong Kong SFC License Details (ID 116100)

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
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	期货合约交易	2010-02-04	2010-05-04
Nomura Asia Investment (Hong Kong) Limited	Rep	期货合约交易	2009-10-12	2010-02-19
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	期货合约交易	2009-10-12	2010-05-04
	Rep	证券交易	2009-10-12	2010-05-04
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	证券交易	2009-10-12	2010-05-04
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	就证券提供意见	2009-05-12	2010-05-04
Nomura Asia Investment (Hong Kong) Limited	Rep	期货合约交易	2008-12-10	2009-05-05
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	证券交易	2008-12-10	2009-05-05
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	期货合约交易	2008-10-10	2009-05-05
	Rep	证券交易	2008-10-10	2009-05-05
LEHMAN BROTHERS ASIA LIMITED	Rep	期货合约交易	2008-01-22	2008-09-29
	Rep	证券交易	2008-01-22	2008-09-29
UBS SECURITIES ASIA LIMITED	Rep	期货合约交易	2005-06-10	2007-12-22
	Rep	证券交易	2005-06-10	2007-12-22