Personnel Hong Kong SFC License Details (ID 76840)

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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
Square Capital Management Limited	RO	就证券提供意见	2026-03-27	-
	RO	提供资产管理	2026-03-27	-
	Rep	就证券提供意见	2026-03-27	2026-03-27
	Rep	提供资产管理	2026-03-27	2026-03-27
BUSINESS SECURITIES LIMITED	RO	就证券提供意见	2024-05-17	2025-02-07
	RO	证券交易	2024-05-17	2025-02-07
EMPEROR SECURITIES LIMITED (HK)	Rep	就证券提供意见	2024-04-17	2024-05-03
	Rep	证券交易	2024-04-17	2024-05-03
	RO	就证券提供意见	2023-09-29	2024-04-17
	RO	证券交易	2023-09-29	2024-04-17
Emperor Asset Management Limited	Rep	提供资产管理	2023-06-14	2024-04-12
EMPEROR FUTURES LIMITED	Rep	就期货合约提供意见	2023-06-14	2024-05-03
	Rep	期货合约交易	2023-06-14	2024-05-03
EMPEROR SECURITIES LIMITED (HK)	Rep	就证券提供意见	2023-06-14	2023-09-29
	Rep	证券交易	2023-06-14	2023-09-29
Hong Kong Stock Link Securities Limited	RO	证券交易	2018-03-07	2023-05-19
KGI ASIA LIMITED	Rep	证券交易	2015-11-16	2016-10-08
KGI FUTURES (HONG KONG) LIMITED	Rep	期货合约交易	2015-11-16	2016-10-08
KGI SECURITIES (HONG KONG) LIMITED	Rep	证券交易	2015-11-16	2016-10-08
KGI ASIA LIMITED	RO	证券交易	2014-05-29	2015-11-16
KGI FUTURES (HONG KONG) LIMITED	RO	期货合约交易	2014-05-29	2015-11-16
KGI SECURITIES (HONG KONG) LIMITED	RO	证券交易	2014-05-29	2015-11-16
KGI ASIA LIMITED	Rep	证券交易	2014-03-17	2014-05-29
KGI FUTURES (HONG KONG) LIMITED	Rep	期货合约交易	2014-03-17	2014-05-29
KGI SECURITIES (HONG KONG) LIMITED	Rep	证券交易	2014-03-17	2014-05-29
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	RO	证券交易	2004-08-12	2014-01-23
CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED	RO	期货合约交易	2004-08-12	2014-01-23
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	RO	证券交易	2004-08-12	2014-01-23
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	就机构融资提供意见	2003-04-01	2004-06-14
	Rep	就证券提供意见	2003-04-01	2004-06-14
	Rep	提供资产管理	2003-04-01	2004-06-14
	Rep	提供自动化交易服务	2003-04-01	2004-06-14
	Rep	证券交易	2003-04-01	2004-08-12
CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED	Rep	就期货合约提供意见	2003-04-01	2004-06-14
	Rep	提供资产管理	2003-04-01	2004-06-14
	Rep	期货合约交易	2003-04-01	2004-08-12
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	就机构融资提供意见	2003-04-01	2004-06-14
	Rep	就证券提供意见	2003-04-01	2004-06-14
	Rep	提供资产管理	2003-04-01	2004-06-14
	Rep	提供自动化交易服务	2003-04-01	2004-06-14
	Rep	证券交易	2003-04-01	2004-08-12

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