Personnel Hong Kong SFC License Details (ID 71409)

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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
Maxa Asset Management Limited	RO	就证券提供意见	2026-05-13	-
	RO	提供资产管理	2026-05-13	-
	RO	证券交易	2026-05-13	-
MAXA CAPITAL LIMITED	RO	就机构融资提供意见	2019-11-08	2026-05-06
	RO	证券交易	2019-11-08	2026-05-06
SHANXI SECURITIES INTERNATIONAL CAPITAL LIMITED	RO	就机构融资提供意见	2018-12-21	2019-10-31
SHANXI SECURITIES INTERNATIONAL LIMITED	RO	证券交易	2018-12-21	2019-10-31
SHANXI SECURITIES INTERNATIONAL CAPITAL LIMITED	Rep	就机构融资提供意见	2018-11-09	2018-12-21
SHANXI SECURITIES INTERNATIONAL LIMITED	Rep	证券交易	2018-11-09	2018-12-21
GF Capital (Hong Kong) Limited	RO	就机构融资提供意见	2018-06-21	2018-09-12
GF Securities (Hong Kong) Brokerage Limited	RO	证券交易	2018-06-21	2018-09-12
GF Capital (Hong Kong) Limited	Rep	就机构融资提供意见	2014-11-28	2018-06-21
GF Securities (Hong Kong) Brokerage Limited	Rep	证券交易	2014-11-28	2018-06-21
BOCOM International Securities Limited	Rep	就证券提供意见	2014-10-06	2014-11-18
	Rep	证券交易	2011-06-03	2014-11-18
BOCOM International (Asia) Limited	Rep	证券交易	2008-09-05	2014-11-18
	Rep	证券交易	2007-12-11	2008-01-23
	Rep	就机构融资提供意见	2007-12-11	2014-11-18
Joy Silver Limited	Rep	就机构融资提供意见	2007-03-27	2007-11-30
	Rep	证券交易	2007-03-13	2007-11-30
XinKong International Securities Limited	Rep	期货合约交易	2005-02-25	2007-02-10
	Rep	证券交易	2005-02-25	2007-02-10

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