Personnel Hong Kong SFC License Details (ID 74513)

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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
Citigroup Global Markets Asia Limited	RO	就机构融资提供意见	2011-12-02	-
	RO	证券交易	2011-12-02	-
	Rep	就机构融资提供意见	2010-06-21	2011-12-02
	Rep	证券交易	2010-06-21	2011-12-02
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	证券交易	2010-06-21	2012-01-31
NOMURA INTERNATIONAL (HONG KONG) LIMITED	RO	就机构融资提供意见	2009-05-12	2010-03-20
	RO	就证券提供意见	2009-05-12	2010-03-20
	RO	证券交易	2009-05-12	2010-03-20
	Rep	就机构融资提供意见	2008-10-10	2009-05-12
	Rep	就证券提供意见	2008-10-10	2009-05-12
LEHMAN BROTHERS ASIA LIMITED	RO	就机构融资提供意见	2007-10-16	2008-09-29
	RO	就证券提供意见	2007-10-16	2008-09-29
	Rep	就机构融资提供意见	2007-09-13	2007-10-16
	Rep	就证券提供意见	2007-09-13	2007-10-16
Aberdeen International Investment Management Limited	RO	就证券提供意见	2006-04-25	2007-03-16
Credit Suisse (Hong Kong) Limited	RO	证券交易	2005-12-02	2007-07-16
Credit Suisse Securities (Hong Kong) Limited	RO	就证券提供意见	2005-12-02	2007-07-16
Credit Suisse (Hong Kong) Limited	RO	就机构融资提供意见	2003-07-17	2007-07-16
	RO	就证券提供意见	2003-07-17	2007-07-16
Credit Suisse Securities (Hong Kong) Limited	RO	就机构融资提供意见	2003-04-01	2007-07-16

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