Personnel Hong Kong SFC License Details (ID 73276)

Personnel Hong Kong SFC License Details (ID 73276)

关键资料证监会牌照公开纪律行动

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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机构	角色	受规管活动	开始日期	结束日期
Mu Investment Management (Asia) Limited	RO	提供资产管理	2014-09-29	2020-02-28
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG ASSET MANAGEMENT LIMITED	RO	就证券提供意见	2011-01-07	2014-02-28
	RO	提供资产管理	2011-01-07	2014-02-28
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	RO	证券交易	2010-10-21	2014-02-28
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG ASSET MANAGEMENT LIMITED	Rep	就证券提供意见	2010-09-22	2011-01-07
	Rep	提供资产管理	2010-09-22	2011-01-07
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	证券交易	2010-05-24	2010-10-21
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	证券交易	2003-10-16	2008-09-30
Citigroup Global Markets Asia Limited	Rep	证券交易	2003-06-19	2008-09-30
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	期货合约交易	2003-06-19	2008-09-30
FT Securities Limited	Rep	就机构融资提供意见	-	2003-05-16
	Rep	就证券提供意见	-	2003-05-16
	Rep	提供资产管理	-	2003-05-16
	Rep	证券交易	-	2003-05-16
JEFFERIES BACHE (HONG KONG) LIMITED	Rep	就期货合约提供意见	-	2003-05-16
	Rep	提供资产管理	-	2003-05-16
	Rep	期货合约交易	-	2003-05-16