Sarkis, David Hong Kong SFC License Details (ID 77816)

Sarkis, David Hong Kong SFC License Details (ID 77816)

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
Shangding International Asset Management Company Limited	RO	提供资产管理	2016-07-08	2023-10-20
	Rep	提供资产管理	2016-04-26	2016-07-08
Standard Chartered Securities (Hong Kong) Limited	Rep	就期货合约提供意见	2014-03-26	2015-06-27
	Rep	就证券提供意见	2014-03-26	2015-06-27
	Rep	期货合约交易	2014-03-26	2015-06-27
	Rep	证券交易	2014-03-26	2015-06-27
Everbright Capital Management Limited	Rep	就证券提供意见	2012-07-05	2013-09-10
	Rep	提供资产管理	2012-07-05	2013-09-10
DAIWA CAPITAL MARKETS TRADING HONG KONG LIMITED	Rep	期货合约交易	2010-11-20	2012-03-22
	Rep	证券交易	2010-11-20	2012-03-22
Daiwa Capital Markets Hong Kong Limited	RO	就证券提供意见	2010-04-21	2012-03-22
	RO	证券交易	2010-04-21	2012-03-22
	Rep	就证券提供意见	2010-02-12	2010-04-21
	Rep	证券交易	2010-02-12	2010-04-21
	Rep	期货合约交易	2010-02-12	2012-03-22
EFG Asset Management (HK) Limited	RO	就证券提供意见	2009-02-06	2009-11-11
	RO	提供资产管理	2009-02-06	2009-11-11
	Rep	就证券提供意见	2008-12-15	2009-02-06
	Rep	提供资产管理	2008-12-15	2009-02-06
Credit Agricole Securities (Asia) Limited	RO	证券交易	2007-11-01	2008-12-01
	Rep	证券交易	2006-05-10	2007-11-01
RBS Asia Futures Limited	Rep	期货合约交易	2006-05-10	2008-12-01
DEUTSCHE SECURITIES ASIA LIMITED	Rep	证券交易	2005-01-10	2005-07-07
	RO	证券交易	2004-06-01	2005-01-10
	RO	就期货合约提供意见	2004-06-01	2005-07-07
	RO	期货合约交易	2004-06-01	2005-07-07
	Rep	证券交易	2004-03-05	2004-06-01