Personnel Hong Kong SFC License Details (ID 71632)

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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
KINGDOM INVESTMENT MANAGERS LIMITED	RO	就证券提供意见	2023-01-11	-
	RO	提供资产管理	2023-01-11	-
KINGDOM SECURITIES LIMITED (HK)	RO	证券交易	2022-11-21	-
Avantua Capital Management Limited	RO	就证券提供意见	2020-04-08	2022-10-31
	RO	提供资产管理	2020-04-08	2022-10-31
WealthQuay Asset Management Limited	RO	就证券提供意见	2018-11-27	2020-04-03
	RO	提供资产管理	2018-11-27	2020-04-03
Rich Bay Securities Limited	RO	期货合约交易	2018-11-12	2020-04-03
	RO	证券交易	2017-08-28	2020-04-03
	Rep	证券交易	2017-06-28	2017-08-28
KuCoin Commodity Futures Limited	RO	期货合约交易	2016-09-26	2017-06-09
KuCoin HK Limited	RO	就证券提供意见	2016-06-27	2017-06-09
	RO	证券交易	2016-05-26	2017-06-09
	Rep	证券交易	2016-04-07	2016-05-26
ORIENT SECURITIES (HONG KONG) LIMITED	Rep	证券交易	2015-11-23	2015-12-03
Changjiang Securities Brokerage (HK) Limited	Rep	证券交易	2014-08-22	2015-10-29
BASIC ASSET MANAGEMENT LIMITED	Rep	提供资产管理	2013-02-22	2014-07-31
BOCOM International Securities Limited	Rep	期货合约交易	2011-04-06	2012-07-04
	Rep	证券交易	2011-04-06	2012-07-04
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	证券交易	2009-09-14	2011-04-01
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	期货合约交易	2009-09-14	2011-04-01
CITIC Securities Brokerage (HK) Limited	Rep	证券交易	2009-02-19	2009-08-29
CITIC Securities Futures (HK) Limited	Rep	期货合约交易	2009-02-19	2009-08-29
WINNINGTON CAPITAL LIMITED	Rep	就期货合约提供意见	2008-01-07	2008-12-18
	Rep	就证券提供意见	2008-01-07	2008-12-18
KINGSWAY FINANCIAL SERVICES GROUP LIMITED	Rep	期货合约交易	2007-10-09	2007-11-20
	Rep	证券交易	2007-10-09	2007-11-20
BOCOM International Securities Limited	Rep	期货合约交易	2007-09-12	2007-10-02
	Rep	证券交易	2007-09-12	2007-10-02
BOCOM International Holdings Company Limited	Rep	期货合约交易	2006-08-28	2007-10-02
	Rep	证券交易	2006-07-10	2007-10-02
BOCI COMMODITIES &AMP; FUTURES LIMITED	Rep	期货合约交易	2004-06-16	2006-01-26
BOCI SECURITIES LIMITED	Rep	证券交易	2004-06-16	2006-06-09
Legg Mason Asset Management Hong Kong Limited	Rep	就机构融资提供意见	2003-04-01	2004-04-07
	Rep	就期货合约提供意见	2003-04-01	2004-04-07
	Rep	就证券提供意见	2003-04-01	2004-04-07
	Rep	提供资产管理	2003-04-01	2004-04-07
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED (TRADING AS ESEMPLIA; ESEMPLIA EMERGING MARKETS)	Rep	就机构融资提供意见	2003-04-01	2004-04-07
	Rep	就期货合约提供意见	2003-04-01	2004-04-07
	Rep	就证券提供意见	2003-04-01	2004-04-07
	Rep	提供资产管理	2003-04-01	2004-04-07
	Rep	证券交易	2003-04-01	2004-04-07

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