Personnel SFC Licences and HKMA Registrations (ID 118587)

Personnel SFC Licences and HKMA Registrations (ID 118587)

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。

显示机构旧称

仅显示现有牌照

机构	角色	受规管活动	开始日期	结束日期
CENTALINE SECURITIES LIMITED	Rep	证券交易	2021-07-13	-
Conrad Investment Services Limited	Rep	证券交易	2021-05-31	2021-06-15
CITIC Securities Brokerage (HK) Limited	Rep	证券交易	2020-11-30	2021-04-12
CITIC Securities Futures (HK) Limited	Rep	期货合约交易	2020-11-30	2021-04-12
CHINA EVERBRIGHT SECURITIES (HK) LIMITED	Rep	证券交易	2019-08-12	2020-10-16
Everbright Securities Investment Services (HK) Limited	Rep	就证券提供意见	2019-08-12	2020-10-16
CES Commodities (HK) Limited	Rep	期货合约交易	2012-10-05	2020-10-16
Everbright Securities Investment Services (HK) Limited	Rep	证券交易	2012-10-05	2020-10-16
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	期货合约交易	2012-08-24	2012-09-25
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	证券交易	2012-08-24	2012-09-25
CES Commodities (HK) Limited	Rep	期货合约交易	2010-05-18	2011-07-02
Everbright Securities Investment Services (HK) Limited	Rep	证券交易	2010-05-18	2011-07-02
FIRST SHANGHAI FUTURES LIMITED	Rep	期货合约交易	2007-04-16	2010-05-03
FIRST SHANGHAI SECURITIES LIMITED	Rep	证券交易	2007-03-15	2010-05-03
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	证券交易	2006-05-22	2006-11-17

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。