Personnel Hong Kong SFC License Details (ID 73129)

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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
WK FUND MANAGEMENT LIMITED	RO	提供资产管理	2020-09-30	2020-09-30
	RO	就证券提供意见	2019-04-30	2020-09-30
	Rep	提供资产管理	2019-02-25	2020-09-30
SINO-RICH SECURITIES &AMP; FUTURES LIMITED	RO	证券交易	2018-04-13	2019-01-04
	Rep	提供资产管理	2018-03-21	2019-01-04
China Sunrise Capital Limited	Rep	就机构融资提供意见	2017-03-14	2017-05-16
SINO-RICH SECURITIES &AMP; FUTURES LIMITED	Rep	提供资产管理	2016-08-16	2017-02-08
	RO	证券交易	2016-08-16	2017-02-08
CHINA EVERBRIGHT CAPITAL LIMITED	RO	证券交易	2011-12-09	2015-05-15
CHINA EVERBRIGHT SECURITIES (HK) LIMITED	RO	证券交易	2011-12-09	2015-05-15
CHINA EVERBRIGHT CAPITAL LIMITED	Rep	证券交易	2011-04-19	2011-12-09
	Rep	就机构融资提供意见	2011-04-19	2015-05-15
	Rep	就证券提供意见	2011-04-19	2015-05-15
CHINA EVERBRIGHT SECURITIES (HK) LIMITED	Rep	证券交易	2011-04-19	2011-12-09
	Rep	就机构融资提供意见	2011-04-19	2015-05-15
	Rep	就证券提供意见	2011-04-19	2015-05-15
CINDA INTERNATIONAL CAPITAL LIMITED	Rep	证券交易	2009-09-15	2011-04-01
CINDA INTERNATIONAL SECURITIES LIMITED	Rep	证券交易	2009-09-15	2011-04-01
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	Rep	期货合约交易	2008-10-03	2009-07-02
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	证券交易	2008-10-03	2009-07-02
Tung Shing Futures (Brokers) Limited	Rep	期货合约交易	2006-07-17	2008-09-01
Tung Shing Securities (Brokers) Limited	Rep	证券交易	2006-06-06	2008-09-01
CCB INTERNATIONAL SECURITIES LIMITED	Rep	证券交易	2005-10-13	2006-05-26
KINGSTON FUTURES LIMITED	Rep	期货合约交易	2005-03-08	2005-05-06
KINGSTON SECURITIES LIMITED	Rep	证券交易	2005-03-08	2005-05-06
CITIC Securities Brokerage (HK) Limited	Rep	就机构融资提供意见	-	2004-03-11
	Rep	提供自动化交易服务	-	2004-03-11
	Rep	就证券提供意见	-	2004-06-30
	Rep	提供资产管理	-	2004-06-30
	Rep	证券交易	-	2004-06-30
CITIC Securities Futures (HK) Limited	Rep	期货合约交易	-	2004-06-30

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