Personnel SFC Licences and HKMA Registrations (ID 77480)

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	Rep	提供资产管理	2025-08-22	-
UBS SECURITIES ASIA LIMITED	RO	期货合约交易	2024-10-09	2025-04-14
	RO	证券交易	2024-10-09	2025-04-14
UBS SECURITIES HONG KONG LIMITED	RO	期货合约交易	2024-10-09	2025-04-14
	RO	证券交易	2024-10-09	2025-04-14
UBS SECURITIES ASIA LIMITED	Rep	期货合约交易	2023-12-14	2024-10-09
	Rep	证券交易	2023-12-14	2024-10-09
UBS SECURITIES HONG KONG LIMITED	Rep	期货合约交易	2023-12-14	2024-10-09
	Rep	证券交易	2023-12-14	2024-10-09
Credit Suisse (Hong Kong) Limited	RO	就期货合约提供意见	2019-07-18	2023-12-03
	RO	就证券提供意见	2019-07-18	2023-12-03
Credit Suisse Securities (Hong Kong) Limited	RO	就证券提供意见	2019-07-18	2023-12-03
Credit Suisse (Hong Kong) Limited	RO	期货合约交易	2017-11-15	2023-12-03
	RO	证券交易	2017-11-15	2023-12-03
Credit Suisse Securities (Hong Kong) Limited	RO	证券交易	2017-11-15	2023-12-03
	Rep	证券交易	2010-11-02	2017-11-15
Credit Suisse (Hong Kong) Limited	Rep	提供自动化交易服务	2009-08-18	2013-11-01
	Rep	期货合约交易	2009-08-18	2017-11-15
	Rep	证券交易	2009-08-18	2017-11-15
UBS DERIVATIVES HONG KONG LIMITED	Rep	期货合约交易	2007-06-07	2009-07-10
UBS SECURITIES ASIA LIMITED	Rep	期货合约交易	2007-06-07	2009-07-10
	Rep	证券交易	2007-06-07	2009-07-10
UBS SECURITIES HONG KONG LIMITED	Rep	证券交易	2007-06-07	2009-07-10
GOLDMAN SACHS (ASIA) L.L.C.	Rep	证券交易	2005-07-13	2007-05-10
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	期货合约交易	2005-07-13	2007-05-10

金管局登记

金管局有关人士登记与证监会牌照独立展示。EO 表示主管人员。

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已采集记录中暂无金管局登记。