Personnel Hong Kong SFC License Details (ID 77307)

Personnel Hong Kong SFC License Details (ID 77307)

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
MILLENNIUM CAPITAL MANAGEMENT (HONG KONG) LIMITED	RO	期货合约交易	2025-11-10	-
	RO	证券交易	2025-11-10	-
	Rep	期货合约交易	2023-10-30	2025-11-10
	Rep	证券交易	2023-10-30	2025-11-10
Credit Suisse (Hong Kong) Limited	RO	期货合约交易	2017-12-20	2023-08-04
	RO	证券交易	2017-12-20	2023-08-04
	Rep	就证券提供意见	2014-03-31	2017-03-07
Credit Suisse Securities (Hong Kong) Limited	Rep	证券交易	2011-10-12	2023-08-04
Credit Suisse (Hong Kong) Limited	Rep	提供自动化交易服务	2011-06-17	2013-11-01
	Rep	期货合约交易	2011-06-17	2017-12-20
	Rep	证券交易	2011-06-17	2017-12-20
UBS SECURITIES HONG KONG LIMITED	Rep	证券交易	2009-08-10	2011-04-02
UBS DERIVATIVES HONG KONG LIMITED	Rep	期货合约交易	2007-06-18	2011-04-02
UBS SECURITIES ASIA LIMITED	Rep	期货合约交易	2007-06-18	2011-04-02
	Rep	证券交易	2007-06-18	2011-04-02