Personnel SFC Licences and HKMA Registrations (ID 35255)

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
CA Premium International (HK) Limited	RO	杠杆式外汇交易	2019-09-23	2023-05-31
CITIC Securities Brokerage (HK) Limited	RO	就证券提供意见	2018-12-27	-
	RO	证券交易	2012-05-03	-
CITIC Securities Futures (HK) Limited	RO	期货合约交易	2012-05-03	-
CITIC Securities Brokerage (HK) Limited	Rep	证券交易	2012-03-27	2012-05-03
CITIC Securities Futures (HK) Limited	Rep	期货合约交易	2012-03-27	2012-05-03
ICBC INTERNATIONAL ASSET MANAGEMENT LIMITED	RO	提供资产管理	2011-06-09	2012-03-21
ICBC INTERNATIONAL FUND MANAGEMENT LIMITED	RO	提供资产管理	2011-06-09	2012-03-21
	RO	证券交易	2011-06-09	2012-03-21
ICBC INTERNATIONAL FUTURES LIMITED	RO	期货合约交易	2011-06-09	2012-03-21
ICBC INTERNATIONAL SECURITIES LIMITED	RO	证券交易	2011-06-09	2012-03-21
ICBC INTERNATIONAL ASSET MANAGEMENT LIMITED	Rep	提供资产管理	2011-05-16	2011-06-09
ICBC INTERNATIONAL FUND MANAGEMENT LIMITED	Rep	提供资产管理	2011-05-16	2011-06-09
ICBC INTERNATIONAL FUTURES LIMITED	Rep	期货合约交易	2011-05-16	2011-06-09
ICBC INTERNATIONAL SECURITIES LIMITED	Rep	证券交易	2011-05-16	2011-06-09
CHINA EVERBRIGHT SECURITIES (HK) LIMITED	RO	提供资产管理	2009-10-13	2011-05-03
	Rep	提供资产管理	2008-03-20	2009-10-13
CHINA EVERBRIGHT FOREX &AMP; FUTURES (HK) LIMITED	RO	期货合约交易	2008-01-08	2011-05-03
	Rep	杠杆式外汇交易	2007-11-01	2011-05-03
CHINA EVERBRIGHT SECURITIES (HK) LIMITED	RO	证券交易	2007-07-05	2011-05-03
CHINA EVERBRIGHT FOREX &AMP; FUTURES (HK) LIMITED	Rep	期货合约交易	2007-06-05	2008-01-08
CHINA EVERBRIGHT SECURITIES (HK) LIMITED	Rep	证券交易	2007-01-15	2007-07-05
GT CAPITAL LIMITED	Rep	证券交易	2006-11-27	2006-12-15
Asia Pacific Securities Limited	Rep	就证券提供意见	2006-09-01	2006-10-26
	Rep	证券交易	2006-09-01	2006-10-26
YUE XIU FUTURES COMPANY LIMITED	Rep	就期货合约提供意见	2006-09-01	2006-10-26
	Rep	期货合约交易	2006-09-01	2006-10-26
GT CAPITAL LIMITED	RO	就证券提供意见	2006-07-24	2006-08-31
	RO	证券交易	2006-07-24	2006-08-31
	RO	就期货合约提供意见	2006-03-03	2006-08-31
	RO	期货合约交易	2006-03-03	2006-08-31
	RO	提供资产管理	2005-09-29	2006-08-31

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。