Personnel SFC Licences and HKMA Registrations (ID 70920)

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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仅显示现有牌照

机构	角色	受规管活动	开始日期	结束日期
IMO Asset Management Limited	RO	就证券提供意见	2023-11-14	-
	RO	提供资产管理	2023-11-14	-
	Rep	就证券提供意见	2023-09-14	2023-11-14
	Rep	提供资产管理	2023-09-14	2023-11-14
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	Rep	就证券提供意见	2016-07-05	2016-12-12
	Rep	期货合约交易	2016-07-05	2016-12-12
	Rep	证券交易	2016-07-05	2016-12-12
BOCI SECURITIES LIMITED	Rep	就证券提供意见	2011-08-29	2014-02-05
	Rep	期货合约交易	2011-08-29	2014-02-05
	Rep	证券交易	2011-08-29	2014-02-05
	Rep	杠杆式外汇交易	2011-08-29	2014-02-05
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	期货合约交易	2010-02-04	2011-07-07
Nomura Asia Investment (Hong Kong) Limited	Rep	期货合约交易	2008-02-29	2010-02-19
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	期货合约交易	2008-02-29	2011-07-07
	Rep	证券交易	2008-02-29	2011-07-07
CHINA EVERBRIGHT SECURITIES (HK) LIMITED	Rep	证券交易	2007-03-05	2008-02-18
CHINA EVERBRIGHT FOREX &AMP; FUTURES (HK) LIMITED	Rep	期货合约交易	2007-02-12	2008-02-18
	Rep	杠杆式外汇交易	2007-02-12	2008-02-18
PHILLIP COMMODITIES (HK) LIMITED	Rep	期货合约交易	2007-01-23	2007-01-31
	Rep	杠杆式外汇交易	2007-01-23	2007-01-31
EMPEROR FUTURES LIMITED	Rep	期货合约交易	2006-12-15	2007-01-01
EMPEROR INTERNATIONAL EXCHANGE (HONG KONG) COMPANY LIMITED	Rep	杠杆式外汇交易	2006-12-15	2007-01-01

金管局登记

金管局有关人士登记与证监会牌照独立展示。EO 表示主管人员。

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