Personnel Hong Kong SFC License Details (ID 77738)

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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
SIIC CAPITAL (HONG KONG) INVESTMENT MANAGEMENT COMPANY LIMITED	RO	就证券提供意见	2025-04-11	2026-04-30
	RO	提供资产管理	2025-04-11	2026-04-30
CHELSEA SECURITIES LIMITED	RO	就证券提供意见	2022-12-23	2025-02-28
	RO	提供资产管理	2022-12-23	2025-02-28
	RO	证券交易	2022-12-23	2025-02-28
	Rep	就证券提供意见	2022-10-21	2022-12-23
	Rep	提供资产管理	2022-10-21	2022-12-23
	Rep	证券交易	2022-10-21	2022-12-23
MAGIC COMPASS SECURITIES LIMITED	Rep	期货合约交易	2022-03-18	2022-09-30
	RO	就证券提供意见	2020-10-23	2022-09-30
	RO	提供资产管理	2020-10-23	2022-09-30
	RO	证券交易	2020-10-23	2022-09-30
KuCoin Asset Management Limited	RO	提供资产管理	2019-04-02	2020-09-30
KuCoin HK Limited	RO	就证券提供意见	2019-04-02	2020-09-30
	Rep	就证券提供意见	2019-01-02	2019-04-02
KuCoin Asset Management Limited	Rep	提供资产管理	2018-12-27	2019-04-02
KuCoin Commodity Futures Limited	Rep	期货合约交易	2018-12-27	2020-09-30
KuCoin HK Limited	Rep	证券交易	2018-12-27	2020-09-30
Hao Tian Asset Management Limited	Rep	提供资产管理	2018-04-04	2018-12-17
Hao Tian International Futures Limited	Rep	期货合约交易	2018-04-04	2018-12-17
Hao Tian International Securities Limited	Rep	证券交易	2018-03-27	2018-12-17
CPLUS SECURITIES LIMITED	Rep	就证券提供意见	2017-08-11	2018-03-01
	Rep	证券交易	2017-08-11	2018-03-01
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	证券交易	2015-02-09	2015-06-10
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	期货合约交易	2015-02-09	2015-06-10
SOUTHWEST SECURITIES (HK) BROKERAGE LIMITED	Rep	就证券提供意见	2014-12-23	2015-06-10
CSC SECURITIES (HK) LIMITED	Rep	就证券提供意见	2014-10-22	2014-11-18
	RO	就证券提供意见	2014-03-05	2014-10-07
	Rep	就证券提供意见	2010-10-26	2014-03-05
WING FUNG FINTECH LIMITED	Rep	杠杆式外汇交易	2010-05-27	2010-10-01
WING FUNG FUTURES LIMITED	Rep	期货合约交易	2010-05-27	2010-10-01
WING FUNG SECURITIES LIMITED	Rep	证券交易	2010-05-18	2010-10-01
CHIEF SECURITIES LIMITED	Rep	证券交易	2010-04-22	2010-04-22
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	就证券提供意见	2008-05-02	2009-10-03
	Rep	证券交易	2008-05-02	2009-10-03

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