Lo, Chi Yan 盧紫茵 SFC Licences and HKMA Registrations (ID 79580)

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
HUAJIN FUTURES (INTERNATIONAL) LIMITED	RO	期货合约交易	2019-04-17	-
HUAJIN RESEARCH (INTERNATIONAL) LIMITED	RO	就证券提供意见	2019-04-17	-
HUAJIN SECURITIES (INTERNATIONAL) LIMITED	RO	证券交易	2019-04-17	-
HUAJIN FUTURES (INTERNATIONAL) LIMITED	Rep	期货合约交易	2019-04-04	2019-04-17
HUAJIN RESEARCH (INTERNATIONAL) LIMITED	Rep	就证券提供意见	2019-04-04	2019-04-17
HUAJIN SECURITIES (INTERNATIONAL) LIMITED	Rep	证券交易	2019-04-04	2019-04-17
CLC FUTURES LIMITED	RO	就期货合约提供意见	2017-09-20	2019-03-20
	RO	期货合约交易	2017-09-20	2019-03-20
CLC SECURITIES LIMITED	RO	就证券提供意见	2017-09-20	2019-03-20
	RO	证券交易	2017-09-20	2019-03-20
HOORAY SECURITIES LIMITED	RO	证券交易	2014-09-01	2017-09-13
CHINA FINANCE HOLDINGS LIMITED	RO	证券交易	2012-05-18	2014-08-08
Finet Securities Limited	RO	期货合约交易	2011-08-02	2014-08-08
	RO	证券交易	2011-08-02	2014-08-08
	Rep	期货合约交易	2011-05-31	2011-08-02
	Rep	证券交易	2011-05-31	2011-08-02
ASA SECURITIES LIMITED	Rep	期货合约交易	2010-09-29	2010-12-17
	Rep	证券交易	2010-09-29	2010-12-17
XinKong International Securities Limited	Rep	期货合约交易	2010-02-23	2010-09-23
	Rep	证券交易	2010-02-23	2010-09-23
BRIGHT SMART FUTURES & COMMODITIES COMPANY LIMITED	Rep	期货合约交易	2008-07-18	2009-10-14
BRIGHT SMART SECURITIES INTERNATIONAL (H.K.) LIMITED	Rep	证券交易	2008-07-18	2009-10-14
CASH ASSET MANAGEMENT LIMITED	Rep	提供资产管理	2006-02-10	2008-06-30
CELESTIAL COMMODITIES LIMITED	Rep	期货合约交易	2006-02-10	2008-06-30
CELESTIAL SECURITIES LIMITED	Rep	杠杆式外汇交易	2006-02-10	2008-06-30
	Rep	就机构融资提供意见	2003-04-01	2004-02-19
	Rep	就证券提供意见	2003-04-01	2004-02-19
	Rep	提供资产管理	2003-04-01	2004-02-19
	Rep	提供自动化交易服务	2003-04-01	2004-02-19
	Rep	证券交易	2003-04-01	2008-06-30

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