Personnel Hong Kong SFC License Details (ID 69455)

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
Merrill Lynch (Asia Pacific) Limited	Rep	证券交易	2020-06-15	2021-07-09
	RO	证券交易	2015-08-13	2018-12-19
Merrill Lynch Far East Limited	RO	期货合约交易	2015-08-13	2021-07-09
	RO	证券交易	2015-08-13	2021-07-09
Merrill Lynch (Asia Pacific) Limited	Rep	证券交易	2015-01-19	2015-08-13
Merrill Lynch Far East Limited	Rep	期货合约交易	2015-01-19	2015-08-13
	Rep	证券交易	2015-01-19	2015-08-13
BARCLAYS CAPITAL ASIA LIMITED	Rep	期货合约交易	2012-02-13	2014-06-03
	RO	期货合约交易	2010-11-22	2012-02-13
	Rep	期货合约交易	2010-10-08	2010-11-22
	Rep	证券交易	2010-10-08	2014-06-03
DEUTSCHE SECURITIES ASIA LIMITED	RO	就期货合约提供意见	2007-09-14	2010-04-30
	RO	期货合约交易	2007-09-14	2010-04-30
	Rep	证券交易	2007-07-06	2010-04-30
	Rep	就期货合约提供意见	2007-05-14	2007-09-14
	Rep	期货合约交易	2007-05-14	2007-09-14
HSBC FUTURES (SINGAPORE) PTE LTD	RO	就期货合约提供意见	2007-04-20	2007-05-10
HSBC Corporate Finance (Hong Kong) Limited	RO	期货合约交易	2006-04-28	2007-05-10
HSBC FUTURES (SINGAPORE) PTE LTD	RO	期货合约交易	2005-09-30	2007-05-10
HSBC BROKING FUTURES (HONG KONG) LIMITED	Rep	期货合约交易	2004-10-14	2007-05-10
HSBC FUTURES (SINGAPORE) PTE LTD	Rep	期货合约交易	2004-10-14	2005-09-30
HSBC SECURITIES (ASIA) LIMITED	Rep	证券交易	2004-10-14	2005-11-14

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