Personnel Hong Kong SFC License Details (ID 75253)

Personnel Hong Kong SFC License Details (ID 75253)

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
T.F.S. Derivatives HK Limited	Rep	证券交易	2020-02-14	2020-05-13
MIZUHO SECURITIES ASIA LIMITED	Rep	就证券提供意见	2017-01-19	2018-08-29
	Rep	证券交易	2017-01-19	2018-08-29
Citigroup Global Markets Asia Limited	Rep	期货合约交易	2013-05-31	2016-08-19
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	期货合约交易	2010-03-23	2013-08-31
Citigroup Global Markets Asia Limited	Rep	证券交易	2010-03-18	2016-08-19
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	证券交易	2010-03-18	2013-08-31
MIZUHO SECURITIES ASIA LIMITED	Rep	提供资产管理	2008-04-24	2010-02-26
	Rep	证券交易	2008-04-18	2010-02-26
Credit Suisse Futures (Hong Kong) Limited	Rep	提供自动化交易服务	2005-04-14	2008-02-18
Credit Suisse (Hong Kong) Limited	Rep	证券交易	2004-09-07	2008-02-18
Credit Suisse Futures (Hong Kong) Limited	Rep	期货合约交易	2004-09-07	2008-02-18
Credit Suisse Securities (Hong Kong) Limited	Rep	证券交易	2004-09-07	2008-02-18