Ng, Kwong Man 吳光民 SFC Licences and HKMA Registrations (ID 116267)

Ng, Kwong Man 吳光民 SFC Licences and HKMA Registrations (ID 116267)

关键资料牌照与登记公开纪律行动

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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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	2025-07-10	-
	Rep	证券交易	2025-07-10	-
Credit Suisse (Hong Kong) Limited	Rep	期货合约交易	2017-05-29	2023-01-31
	Rep	证券交易	2017-05-29	2023-01-31
Credit Suisse Securities (Hong Kong) Limited	Rep	提供自动化交易服务	2017-05-29	2019-04-08
	Rep	证券交易	2017-05-29	2023-01-31
Credit Suisse (Hong Kong) Limited	Rep	提供自动化交易服务	2008-11-05	2009-03-31
	Rep	期货合约交易	2008-11-05	2009-03-31
	Rep	证券交易	2008-05-16	2009-03-31
Credit Suisse Futures (Hong Kong) Limited	Rep	提供自动化交易服务	2008-05-16	2008-11-24
	Rep	期货合约交易	2008-05-16	2008-11-24
Credit Suisse Securities (Hong Kong) Limited	Rep	证券交易	2008-05-16	2009-03-31
UBS DERIVATIVES HONG KONG LIMITED	Rep	期货合约交易	2005-07-04	2008-03-15
UBS SECURITIES ASIA LIMITED	Rep	期货合约交易	2005-07-04	2008-03-15
	Rep	证券交易	2005-07-04	2008-03-15
UBS SECURITIES HONG KONG LIMITED	Rep	证券交易	2005-07-04	2008-03-15

金管局登记

金管局有关人士登记与证监会牌照独立展示。EO 表示主管人员。

仅显示现任登记

已采集记录中暂无金管局登记。