Personnel Hong Kong SFC License Details (ID 70820)

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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
Cosmos One Capital Limited	Rep	就证券提供意见	2023-03-02	-
	Rep	证券交易	2023-03-02	-
GUOTAI JUNAN FUTURES (HONG KONG) LIMITED	RO	就期货合约提供意见	2019-06-06	2021-04-07
	RO	期货合约交易	2019-06-06	2021-04-07
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	RO	就证券提供意见	2019-06-06	2021-04-07
	RO	证券交易	2019-06-06	2021-04-07
GUOTAI JUNAN FUTURES (HONG KONG) LIMITED	Rep	就期货合约提供意见	2019-04-09	2019-06-06
	Rep	期货合约交易	2019-04-09	2019-06-06
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	就证券提供意见	2019-04-09	2019-06-06
	Rep	证券交易	2019-04-09	2019-06-06
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	RO	就期货合约提供意见	2016-12-16	2017-03-31
	RO	期货合约交易	2016-12-16	2017-03-31
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	RO	就证券提供意见	2016-12-16	2017-03-31
	RO	证券交易	2016-12-16	2017-03-31
	Rep	期货合约交易	2016-11-07	2017-03-31
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	Rep	就期货合约提供意见	2016-09-09	2016-12-16
	Rep	期货合约交易	2016-09-09	2016-12-16
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	就证券提供意见	2016-09-09	2016-12-16
	Rep	证券交易	2016-09-09	2016-12-16
BOCI RESEARCH LIMITED	RO	就证券提供意见	2011-06-10	2016-05-31
BOCI ASSET MANAGEMENT LIMITED	RO	提供资产管理	2008-07-11	2014-06-30
BOCI SECURITIES LIMITED	RO	就期货合约提供意见	2006-07-10	2016-05-31
	RO	就证券提供意见	2006-07-10	2016-05-31
	RO	期货合约交易	2006-07-10	2016-05-31
	RO	证券交易	2006-07-10	2016-05-31
	Rep	就期货合约提供意见	2005-11-11	2006-07-10
	Rep	期货合约交易	2005-11-11	2006-07-10
BOCI COMMODITIES &AMP; FUTURES LIMITED	Rep	就期货合约提供意见	2004-12-15	2011-01-27
BOCI SECURITIES LIMITED	Rep	就证券提供意见	2004-12-15	2006-07-10
BOCI COMMODITIES &AMP; FUTURES LIMITED	Rep	期货合约交易	2004-01-05	2011-01-27
BOCI SECURITIES LIMITED	Rep	证券交易	2004-01-05	2006-07-10
BNP PARIBAS PEREGRINE FUTURES LIMITED	Rep	就期货合约提供意见	2003-04-01	2004-01-05
	Rep	提供资产管理	2003-04-01	2004-01-05
	Rep	期货合约交易	2003-04-01	2004-01-05
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	就机构融资提供意见	2003-04-01	2004-01-05
	Rep	就证券提供意见	2003-04-01	2004-01-05
	Rep	提供资产管理	2003-04-01	2004-01-05
	Rep	证券交易	2003-04-01	2004-01-05

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