Personnel Hong Kong SFC License Details (ID 70576)

Personnel Hong Kong SFC License Details (ID 70576)

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
UBS SECURITIES ASIA LIMITED	Rep	期货合约交易	2018-05-08	2023-04-13
	Rep	证券交易	2018-05-08	2023-04-13
UBS SECURITIES HONG KONG LIMITED	Rep	提供自动化交易服务	2018-05-08	2023-04-13
	Rep	证券交易	2018-05-08	2023-04-13
CLSA LIMITED	Rep	证券交易	2014-06-26	2018-01-03
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	期货合约交易	2011-09-15	2014-03-31
BNP PARIBAS FUTURES (HONG KONG) LIMITED	Rep	期货合约交易	2010-07-28	2011-12-30
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	提供自动化交易服务	2009-11-26	2014-03-31
	Rep	证券交易	2009-07-02	2014-03-31
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	就期货合约提供意见	2008-06-24	2009-04-29
	Rep	就证券提供意见	2008-06-24	2009-04-29
	Rep	期货合约交易	2008-06-24	2009-04-29
	Rep	证券交易	2008-06-05	2009-04-29
BEAR STEARNS ASIA LIMITED	Rep	证券交易	2007-04-02	2009-04-29