Personnel Hong Kong SFC License Details (ID 74228)

Personnel Hong Kong SFC License Details (ID 74228)

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
Zinvest Global Limited	RO	就证券提供意见	2019-12-05	2020-04-08
	RO	期货合约交易	2019-12-05	2020-04-08
	RO	证券交易	2019-12-05	2020-04-08
Hao Tian International Futures Limited	Rep	期货合约交易	2017-09-20	2018-05-01
Hao Tian Asset Management Limited	Rep	提供资产管理	2017-09-11	2018-05-01
Hao Tian International Securities Limited	RO	证券交易	2017-04-12	2018-05-01
ICBC INTERNATIONAL ASSET MANAGEMENT LIMITED	Rep	提供资产管理	2015-11-26	2016-12-30
ICBC INTERNATIONAL SECURITIES LIMITED	RO	证券交易	2015-07-27	2016-12-30
ICBC INTERNATIONAL FUTURES LIMITED	Rep	期货合约交易	2014-10-14	2016-12-30
ICBC INTERNATIONAL SECURITIES LIMITED	Rep	证券交易	2014-10-14	2015-07-27
	Rep	期货合约交易	2014-10-14	2016-12-30
CITIC Securities Brokerage (HK) Limited	Rep	证券交易	2009-07-08	2014-09-29
CITIC Securities Futures (HK) Limited	Rep	期货合约交易	2009-07-08	2014-09-29
BOCOM International Securities Limited	Rep	期货合约交易	2008-12-19	2009-05-23
	Rep	证券交易	2008-12-19	2009-05-23
GUOYUAN FUTURES (HONG KONG) LIMITED	Rep	期货合约交易	2008-02-15	2008-11-07
GUOYUAN SECURITIES BROKERAGE (HONG KONG) LIMITED	Rep	证券交易	2007-05-04	2008-11-07