Personnel Hong Kong SFC License Details (ID 67804)

Personnel Hong Kong SFC License Details (ID 67804)

关键资料证监会牌照公开纪律行动

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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机构	角色	受规管活动	开始日期	结束日期
CNI Global Assets Management Limited (HK)	RO	提供资产管理	2018-08-17	2020-09-04
CNI Securities Group Limited	RO	就证券提供意见	2014-05-13	2020-09-04
	RO	期货合约交易	2011-06-28	2020-09-04
	RO	证券交易	2011-03-09	2020-09-04
ORIENTAL WEALTH FUTURES LIMITED	Rep	期货合约交易	2011-01-19	2011-02-08
ORIENTAL WEALTH SECURITIES LIMITED	Rep	证券交易	2011-01-19	2011-02-08
	RO	证券交易	2010-07-26	2011-01-19
ORIENTAL WEALTH FUTURES LIMITED	RO	期货合约交易	2010-03-18	2011-01-19
	Rep	期货合约交易	2009-12-22	2010-03-18
ORIENTAL WEALTH SECURITIES LIMITED	Rep	证券交易	2009-12-22	2010-07-26
ONE CHINA SECURITIES LIMITED	RO	期货合约交易	2007-06-25	2008-09-16
	Rep	证券交易	2007-06-25	2008-09-16
BOCI COMMODITIES &AMP; FUTURES LIMITED	Rep	期货合约交易	2004-02-10	2005-10-03
BOCI SECURITIES LIMITED	Rep	证券交易	2004-02-10	2005-10-03
CES Commodities (HK) Limited	Rep	期货合约交易	2003-12-10	2004-01-13
Everbright Securities Investment Services (HK) Limited	Rep	证券交易	2003-12-10	2004-01-13
CITIC Securities Futures (HK) Limited	RO	期货合约交易	-	2003-09-30