Personnel Hong Kong SFC License Details (ID 77533)

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。

显示机构旧称

仅显示现有牌照

机构	角色	受规管活动	开始日期	结束日期
CANTOR FITZGERALD (HONG KONG) CAPITAL MARKETS LIMITED	RO	期货合约交易	2020-03-10	2023-01-31
	RO	证券交易	2020-03-10	2023-01-31
	Rep	期货合约交易	2020-01-08	2020-03-10
	Rep	证券交易	2020-01-08	2020-03-10
DEUTSCHE SECURITIES ASIA LIMITED	RO	提供自动化交易服务	2018-01-29	2019-11-15
	RO	期货合约交易	2018-01-29	2019-11-15
	RO	证券交易	2018-01-29	2019-11-15
	Rep	提供自动化交易服务	2017-08-21	2018-01-29
	Rep	期货合约交易	2017-08-21	2018-01-29
	Rep	证券交易	2017-08-21	2018-01-29
Credit Suisse Securities (Hong Kong) Limited	RO	提供自动化交易服务	2013-07-30	2017-05-16
Credit Suisse (Hong Kong) Limited	RO	提供自动化交易服务	2012-01-19	2013-11-01
	RO	期货合约交易	2012-01-19	2017-05-16
	RO	证券交易	2012-01-19	2017-05-16
Credit Suisse Securities (Hong Kong) Limited	RO	证券交易	2012-01-19	2017-05-16
	Rep	证券交易	2010-10-11	2012-01-19
Credit Suisse (Hong Kong) Limited	Rep	提供自动化交易服务	2008-11-11	2012-01-19
	Rep	期货合约交易	2008-11-11	2012-01-19
	Rep	证券交易	2008-06-24	2012-01-19
Credit Suisse Futures (Hong Kong) Limited	Rep	提供自动化交易服务	2008-06-24	2008-11-24
	Rep	期货合约交易	2008-06-24	2008-11-24
UBS SECURITIES HONG KONG LIMITED	Rep	证券交易	2006-12-14	2008-03-21
UBS SECURITIES ASIA LIMITED	Rep	期货合约交易	2006-05-08	2008-03-21
	Rep	证券交易	2006-05-08	2008-03-21
Morgan Stanley Asia Limited	Rep	提供自动化交易服务	2005-12-09	2006-03-31
	Rep	证券交易	2005-12-09	2006-03-31
Morgan Stanley Hong Kong Futures Limited	Rep	提供自动化交易服务	2005-12-09	2006-03-31
	Rep	期货合约交易	2005-12-09	2006-03-31

人员