Personnel Hong Kong SFC License Details (ID 76922)

Personnel Hong Kong SFC License Details (ID 76922)

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
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	证券交易	2016-07-01	-
	Rep	证券交易	2009-03-06	2016-06-30
CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED	Rep	期货合约交易	2009-03-06	-
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	证券交易	2009-03-06	2016-06-30
KGI ASIA LIMITED	Rep	证券交易	2005-02-14	2009-02-26
KGI FUTURES (HONG KONG) LIMITED	Rep	期货合约交易	2005-02-14	2009-02-26
Tung Shing Futures (Brokers) Limited	Rep	期货合约交易	2004-10-28	2005-02-04
Tung Shing Securities (Brokers) Limited	Rep	证券交易	2004-10-28	2005-02-04
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	证券交易	2004-05-19	2004-10-26
CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED	Rep	期货合约交易	2004-05-19	2004-10-26
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	证券交易	2004-05-19	2004-10-26
KARL-THOMSON COMMODITIES COMPANY LIMITED	Rep	就期货合约提供意见	2003-04-01	2004-05-06
	Rep	提供资产管理	2003-04-01	2004-05-06
	Rep	期货合约交易	2003-04-01	2004-05-07
KARL-THOMSON SECURITIES COMPANY LIMITED	Rep	就机构融资提供意见	2003-04-01	2004-05-06
	Rep	就证券提供意见	2003-04-01	2004-05-06
	Rep	提供资产管理	2003-04-01	2004-05-06
	Rep	提供自动化交易服务	2003-04-01	2004-05-06
	Rep	证券交易	2003-04-01	2004-05-07