Personnel Hong Kong SFC License Details (ID 74217)

Personnel Hong Kong SFC License Details (ID 74217)

关键资料证监会牌照公开纪律行动

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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
CITIC Securities Brokerage (HK) Limited	Rep	证券交易	2010-11-19	-
CITIC Securities Futures (HK) Limited	Rep	期货合约交易	2010-11-19	-
CITIC Securities Brokerage (HK) Limited	RO	证券交易	2007-03-09	2010-11-19
CITIC Securities Futures (HK) Limited	RO	期货合约交易	2007-03-09	2010-11-19
CITIC Securities Brokerage (HK) Limited	Rep	证券交易	2004-04-02	2007-03-09
CITIC Securities Futures (HK) Limited	Rep	期货合约交易	2004-04-02	2007-03-09
DBS VICKERS (HONG KONG) LIMITED	Rep	期货合约交易	2003-11-03	2004-03-18
	Rep	就机构融资提供意见	2003-04-01	2003-10-13
	Rep	提供资产管理	2003-04-01	2003-10-13
	Rep	就证券提供意见	2003-04-01	2003-10-31
	Rep	证券交易	2003-04-01	2004-03-18
DBS VICKERS FUTURES (HONG KONG) LIMITED DBS	Rep	就期货合约提供意见	2003-04-01	2003-10-31
	Rep	提供资产管理	2003-04-01	2003-10-31
	Rep	期货合约交易	2003-04-01	2003-12-11