Personnel Hong Kong SFC License Details (ID 74409)

Personnel Hong Kong SFC License Details (ID 74409)

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
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	证券交易	2018-07-11	-
Everbright Securities Investment Services (HK) Limited	Rep	就证券提供意见	2017-12-15	2018-06-29
	Rep	证券交易	2017-12-15	2018-06-29
CHINA EVERBRIGHT SECURITIES (HK) LIMITED	Rep	就机构融资提供意见	2017-02-22	2018-06-29
	Rep	就证券提供意见	2017-02-22	2018-06-29
	Rep	证券交易	2017-02-22	2018-06-29
CLSA LIMITED	Rep	就证券提供意见	2014-12-30	2016-12-01
CITIC Securities (Hong Kong) Limited	Rep	就机构融资提供意见	2014-02-10	2016-12-01
	Rep	就证券提供意见	2014-02-10	2016-12-01
CLSA LIMITED	Rep	证券交易	2014-02-10	2016-12-01
CITIC SECURITIES CORPORATE FINANCE (HK) LIMITED	Rep	就证券提供意见	2010-03-15	2014-02-09
	Rep	就机构融资提供意见	2010-03-08	2014-02-09
	Rep	证券交易	2010-03-08	2014-02-09
RBS Asia Corporate Finance Limited	Rep	就机构融资提供意见	2008-04-14	2010-03-01
	Rep	证券交易	2008-04-14	2010-03-01