Personnel Hong Kong SFC License Details (ID 77172)

Personnel Hong Kong SFC License Details (ID 77172)

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
KINGSWAY CAPITAL LIMITED	RO	证券交易	2016-11-22	2022-06-22
	RO	就机构融资提供意见	2016-01-27	-
KINGSWAY FINANCIAL SERVICES GROUP LIMITED	RO	证券交易	2016-01-27	-
KINGSWAY CAPITAL LIMITED	Rep	就机构融资提供意见	2015-11-25	2016-01-27
KINGSWAY FINANCIAL SERVICES GROUP LIMITED	Rep	证券交易	2015-11-25	2016-01-27
VBG Capital Limited	RO	就机构融资提供意见	2013-09-19	2015-10-12
	RO	证券交易	2013-09-19	2015-10-12
Joy Silver Limited	RO	就机构融资提供意见	2012-08-16	2013-09-19
	RO	证券交易	2012-08-16	2013-09-19
Credit Suisse (Hong Kong) Limited	RO	就机构融资提供意见	2011-07-12	2012-05-26
	RO	就证券提供意见	2011-07-12	2012-05-26
	RO	证券交易	2011-07-12	2012-05-26
	Rep	就机构融资提供意见	2011-05-09	2011-07-12
	Rep	就证券提供意见	2011-05-09	2011-07-12
	Rep	证券交易	2011-05-09	2011-07-12
MACQUARIE CAPITAL LIMITED	RO	就机构融资提供意见	2008-02-11	2011-03-29
	RO	证券交易	2008-02-11	2011-03-29
Macquarie Corporate (Hong Kong) Limited	RO	就机构融资提供意见	2008-02-11	2011-03-07
MACQUARIE CAPITAL LIMITED	Rep	证券交易	2007-09-12	2008-02-11
	Rep	就机构融资提供意见	2007-08-24	2008-02-11
Macquarie Corporate (Hong Kong) Limited	Rep	就机构融资提供意见	2007-08-24	2008-02-11
QUAM CAPITAL LIMITED	RO	就机构融资提供意见	2003-04-01	2007-08-16