Personnel SFC Licences and HKMA Registrations (ID 47297)

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
ALTUS CAPITAL LIMITED	RO	就证券提供意见	2014-07-11	-
	RO	提供资产管理	2014-07-11	-
ALTUS INVESTMENTS LIMITED (HK)	RO	证券交易	2014-07-11	-
ALTUS CAPITAL LIMITED	Rep	就证券提供意见	2014-05-12	2014-07-11
	Rep	提供资产管理	2014-05-12	2014-07-11
ALTUS INVESTMENTS LIMITED (HK)	Rep	证券交易	2014-05-12	2014-07-11
Legg Mason Asset Management Hong Kong Limited	RO	提供资产管理	2013-05-23	2013-11-29
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED (TRADING AS ESEMPLIA; ESEMPLIA EMERGING MARKETS)	RO	就证券提供意见	2013-05-23	2013-11-29
	RO	提供资产管理	2013-05-23	2013-11-29
	RO	证券交易	2013-05-23	2013-11-29
Legg Mason Asset Management Hong Kong Limited	Rep	提供资产管理	2013-04-29	2013-05-23
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED (TRADING AS ESEMPLIA; ESEMPLIA EMERGING MARKETS)	Rep	就证券提供意见	2013-04-29	2013-05-23
	Rep	提供资产管理	2013-04-29	2013-05-23
	Rep	证券交易	2013-04-29	2013-05-23
ALTUS CAPITAL LIMITED	RO	就证券提供意见	2013-03-28	2013-04-29
	RO	提供资产管理	2013-03-28	2013-04-29
ALTUS INVESTMENTS LIMITED (HK)	RO	证券交易	2013-03-28	2013-04-29
ALTUS CAPITAL LIMITED	Rep	就证券提供意见	2013-02-01	2013-03-28
	Rep	提供资产管理	2013-02-01	2013-03-28
ALTUS INVESTMENTS LIMITED (HK)	Rep	证券交易	2013-02-01	2013-03-28
INVESCO HONG KONG LIMITED (TRADING AS INVESCO ASIA PACIFIC)	Rep	就证券提供意见	2006-02-01	2012-09-01
INVESCO ASSET MANAGEMENT ASIA LIMITED	RO	证券交易	2005-10-13	2012-09-01
INVESCO HONG KONG LIMITED (TRADING AS INVESCO ASIA PACIFIC)	RO	就期货合约提供意见	2005-10-13	2012-09-01
	RO	提供资产管理	2005-10-13	2012-09-01
	RO	证券交易	2005-10-13	2012-09-01
INVESCO ASSET MANAGEMENT ASIA LIMITED	Rep	证券交易	2005-03-14	2005-10-13
INVESCO HONG KONG LIMITED (TRADING AS INVESCO ASIA PACIFIC)	Rep	证券交易	2005-03-14	2005-10-13
	Rep	就证券提供意见	2004-11-04	2005-06-07
	Rep	就期货合约提供意见	2004-11-04	2005-10-13
	Rep	提供资产管理	2004-11-04	2005-10-13
Manulife Investment Management (Hong Kong) Limited	Rep	就机构融资提供意见	2003-04-01	2004-06-14
	Rep	证券交易	2003-04-01	2004-06-14
	Rep	就期货合约提供意见	2003-04-01	2004-11-01
	Rep	就证券提供意见	2003-04-01	2004-11-01
	Rep	提供资产管理	2003-04-01	2004-11-01

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。