Personnel Hong Kong SFC License Details (ID 69753)

Personnel Hong Kong SFC License Details (ID 69753)

关键资料证监会牌照公开纪律行动

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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
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	期货合约交易	2020-07-14	2021-05-12
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	证券交易	2020-07-14	2021-05-12
BARCLAYS CAPITAL ASIA LIMITED	Rep	期货合约交易	2011-01-06	2015-05-08
	Rep	证券交易	2011-01-06	2015-05-08
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	期货合约交易	2010-02-04	2010-11-24
Nomura Asia Investment (Hong Kong) Limited	Rep	期货合约交易	2008-12-10	2010-02-19
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	证券交易	2008-12-10	2010-11-24
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	期货合约交易	2008-10-10	2010-11-24
	Rep	证券交易	2008-10-10	2010-11-24
LEHMAN BROTHERS ASIA LIMITED	Rep	期货合约交易	2007-08-14	2008-09-29
	Rep	证券交易	2007-08-14	2008-09-29