Personnel Hong Kong SFC License Details (ID 78105)

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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
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	RO	期货合约交易	2021-04-09	-
GUOTAI JUNAN FUTURES (HONG KONG) LIMITED	RO	期货合约交易	2019-02-19	-
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	RO	就证券提供意见	2019-02-19	-
	RO	证券交易	2019-02-19	-
GUOTAI JUNAN FUTURES (HONG KONG) LIMITED	Rep	期货合约交易	2018-11-15	2019-02-19
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	就证券提供意见	2018-11-15	2019-02-19
	Rep	证券交易	2018-11-15	2019-02-19
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	RO	期货合约交易	2017-04-07	2018-07-20
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	RO	期货合约交易	2016-12-16	2018-07-20
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	RO	就证券提供意见	2016-12-16	2018-07-20
	RO	证券交易	2016-12-16	2018-07-20
	Rep	期货合约交易	2016-11-07	2017-04-07
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	Rep	期货合约交易	2016-09-20	2016-12-16
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	就证券提供意见	2016-09-20	2016-12-16
	Rep	证券交易	2016-09-20	2016-12-16
BOCI SECURITIES LIMITED	RO	就证券提供意见	2014-01-20	2016-09-15
BOCI ASIA LIMITED	RO	证券交易	2013-08-01	2016-09-15
BOCI SECURITIES LIMITED	RO	期货合约交易	2013-08-01	2016-09-15
	RO	证券交易	2013-08-01	2016-09-15
BOCI ASIA LIMITED	Rep	证券交易	2013-04-16	2013-08-01
BOCI SECURITIES LIMITED	Rep	期货合约交易	2013-04-16	2013-08-01
	Rep	证券交易	2013-04-16	2013-08-01
Daiwa Capital Markets Hong Kong Limited	Rep	证券交易	2010-11-20	2011-09-16
DAIWA CAPITAL MARKETS TRADING HONG KONG LIMITED	Rep	期货合约交易	2008-07-03	2011-09-16
	Rep	证券交易	2005-10-17	2011-09-16
KBC FINANCIAL PRODUCTS HONG KONG LIMITED	Rep	证券交易	2005-01-17	2010-11-20

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