Personnel Hong Kong SFC License Details (ID 75817)

Personnel Hong Kong SFC License Details (ID 75817)

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
HONGDA SECURITIES LIMITED	RO	证券交易	2019-01-07	2020-01-15
CMB International Securities Limited	RO	证券交易	2011-05-19	2018-05-29
	Rep	证券交易	2010-09-24	2011-05-19
CMB International Capital Holdings Corporation Limited	Rep	证券交易	2009-07-13	2010-11-16
BOCI SECURITIES LIMITED	Rep	证券交易	2008-01-04	2009-07-08
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	证券交易	2007-07-03	2007-12-19
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	证券交易	2007-05-02	2007-06-23
LEHIN SECURITIES LIMITED	Rep	证券交易	2007-02-09	2007-04-13
CGS International Securities Hong Kong Limited	Rep	证券交易	2006-10-16	2006-10-25
Instinet Alpha Trading Limited	Rep	就机构融资提供意见	-	2004-06-07
	Rep	提供资产管理	-	2004-06-07
	Rep	就证券提供意见	-	2006-09-11
	Rep	提供自动化交易服务	-	2006-09-11
	Rep	证券交易	-	2006-09-11
INSTINET PACIFIC LIMITED	Rep	就机构融资提供意见	-	2004-06-07
	Rep	提供资产管理	-	2004-06-07
	Rep	就证券提供意见	-	2006-09-11
	Rep	提供自动化交易服务	-	2006-09-11
	Rep	证券交易	-	2006-09-11