Personnel Hong Kong SFC License Details (ID 117938)

Personnel Hong Kong SFC License Details (ID 117938)

关键资料证监会牌照公开纪律行动

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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
BARCLAYS CAPITAL ASIA LIMITED	Rep	期货合约交易	2025-08-08	-
	Rep	证券交易	2025-08-08	-
HSBC SECURITIES BROKERS (ASIA) LIMITED	Rep	证券交易	2024-02-08	2025-04-08
Credit Suisse (Hong Kong) Limited	RO	就证券提供意见	2020-03-04	2023-10-26
	RO	期货合约交易	2020-03-04	2023-10-26
	RO	证券交易	2020-03-04	2023-10-26
Credit Suisse Securities (Hong Kong) Limited	RO	就证券提供意见	2020-03-04	2023-10-26
	RO	提供自动化交易服务	2020-03-04	2023-10-26
	RO	证券交易	2020-03-04	2023-10-26
Credit Suisse (Hong Kong) Limited	Rep	期货合约交易	2018-11-01	2020-03-04
	Rep	证券交易	2018-11-01	2020-03-04
Credit Suisse Securities (Hong Kong) Limited	Rep	提供自动化交易服务	2018-11-01	2020-03-04
	Rep	证券交易	2018-11-01	2020-03-04
LEHMAN BROTHERS ASIA LIMITED	Rep	期货合约交易	2007-10-02	2008-09-29
	Rep	证券交易	2007-10-02	2008-09-29
LEHMAN BROTHERS FUTURES ASIA LIMITED	Rep	期货合约交易	2007-10-02	2008-09-29
LEHMAN BROTHERS SECURITIES ASIA LIMITED	Rep	证券交易	2007-10-02	2008-09-29
GOLDMAN SACHS (ASIA) L.L.C.	Rep	证券交易	2006-02-20	2007-06-15
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	期货合约交易	2006-02-20	2007-06-15