Pecot III, Charles Matthew
证监会中央编号:AHA548
| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| BARCLAYS CAPITAL ASIA LIMITED | RO | 期货合约交易 | 2019-01-09 | 2022-05-13 |
| RO | 证券交易 | 2019-01-09 | 2022-05-13 | |
| Rep | 期货合约交易 | 2018-05-08 | 2019-01-09 | |
| Rep | 证券交易 | 2018-05-08 | 2019-01-09 | |
| Credit Suisse (Hong Kong) Limited | RO | 就期货合约提供意见 | 2013-11-27 | 2017-03-25 |
| Credit Suisse Securities (Hong Kong) Limited | RO | 证券交易 | 2012-02-27 | 2017-03-25 |
| Credit Suisse (Hong Kong) Limited | RO | 提供自动化交易服务 | 2011-06-23 | 2013-11-01 |
| RO | 期货合约交易 | 2011-06-23 | 2017-03-25 | |
| RO | 证券交易 | 2009-11-30 | 2017-03-25 | |
| Rep | 证券交易 | 2009-07-24 | 2009-11-30 | |
| Rep | 提供自动化交易服务 | 2009-07-24 | 2011-06-23 | |
| Rep | 期货合约交易 | 2009-07-24 | 2011-06-23 | |
| UBS SECURITIES ASIA LIMITED | RO | 证券交易 | 2005-04-27 | 2007-03-06 |
| Rep | 就机构融资提供意见 | - | 2005-02-04 | |
| Rep | 提供资产管理 | - | 2005-02-04 | |
| Rep | 就证券提供意见 | - | 2005-03-24 | |
| Rep | 证券交易 | - | 2005-04-27 |