Personnel Hong Kong SFC License Details (ID 75259)

Personnel Hong Kong SFC License Details (ID 75259)

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
LGT INVESTMENT MANAGEMENT (ASIA) LIMITED	Rep	证券交易	2018-02-08	-
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	就证券提供意见	2014-10-08	2016-10-13
	Rep	证券交易	2014-10-08	2016-10-13
	Rep	就期货合约提供意见	2014-10-08	2017-03-30
	Rep	期货合约交易	2014-10-08	2017-03-30
Citigroup Global Markets Asia Limited	Rep	证券交易	2008-06-13	2012-07-11
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	期货合约交易	2008-06-13	2012-07-11
	Rep	证券交易	2008-06-13	2012-07-11
GOLDMAN SACHS (ASIA) L.L.C.	Rep	证券交易	2007-05-15	2008-04-15
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	期货合约交易	2007-05-15	2008-04-15
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	期货合约交易	2004-12-15	2007-04-04
Citigroup Global Markets Asia Limited	Rep	就机构融资提供意见	2004-05-11	2004-12-15
	Rep	证券交易	2004-05-11	2007-04-04
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	证券交易	2004-05-11	2005-08-15