Personnel Hong Kong SFC License Details (ID 78079)

Personnel Hong Kong SFC License Details (ID 78079)

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
Morgan Stanley Asia Limited	Rep	证券交易	2017-09-14	-
Morgan Stanley Hong Kong Securities Limited	Rep	期货合约交易	2017-09-14	-
DAIWA CAPITAL MARKETS TRADING HONG KONG LIMITED	RO	证券交易	2015-03-02	2016-01-01
Daiwa Capital Markets Hong Kong Limited	RO	证券交易	2013-06-21	2016-01-01
DAIWA CAPITAL MARKETS TRADING HONG KONG LIMITED	RO	证券交易	2013-06-21	2013-11-13
Daiwa Capital Markets Hong Kong Limited	Rep	证券交易	2010-11-20	2013-06-21
DAIWA CAPITAL MARKETS TRADING HONG KONG LIMITED	Rep	证券交易	2010-11-02	2013-06-21
KBC FINANCIAL PRODUCTS HONG KONG LIMITED	RO	证券交易	2007-04-02	2010-11-20
	Rep	就机构融资提供意见	2003-04-01	2004-01-08
	Rep	就证券提供意见	2003-04-01	2004-01-08
	Rep	提供资产管理	2003-04-01	2004-01-08
	Rep	证券交易	2003-04-01	2007-04-02