Personnel Hong Kong SFC License Details (ID 70268)

Personnel Hong Kong SFC License Details (ID 70268)

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
BARCLAYS CAPITAL ASIA LIMITED	Rep	期货合约交易	2013-10-23	2022-11-08
	Rep	证券交易	2013-10-23	2022-11-08
BLACKROCK (HONG KONG) LIMITED	Rep	提供资产管理	2012-11-28	2013-06-29
BlackRock Asset Management North Asia Limited	Rep	就证券提供意见	2012-11-28	2013-06-29
	Rep	提供资产管理	2012-11-28	2013-06-29
	Rep	证券交易	2012-11-28	2013-06-29
BLACKROCK (HONG KONG) LIMITED	Rep	就证券提供意见	2011-09-05	2013-06-29
	Rep	证券交易	2011-09-05	2013-06-29
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	期货合约交易	2008-10-13	2011-07-06
	Rep	证券交易	2008-10-13	2011-07-06
LEHMAN BROTHERS ASIA LIMITED	Rep	期货合约交易	2006-06-02	2008-09-29
	Rep	证券交易	2006-06-02	2008-09-29
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	就期货合约提供意见	2004-03-10	2006-05-03
	Rep	就证券提供意见	2004-03-10	2006-05-03
	Rep	期货合约交易	2004-03-10	2006-05-03
	Rep	证券交易	2004-03-10	2006-05-03