Personnel SFC Licences and HKMA Registrations (ID 81897)

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
GUOYUAN SECURITIES BROKERAGE (HONG KONG) LIMITED	RO	就证券提供意见	2017-09-12	-
GUOYUAN FUTURES (HONG KONG) LIMITED	RO	期货合约交易	2016-10-07	-
GUOYUAN SECURITIES BROKERAGE (HONG KONG) LIMITED	RO	证券交易	2016-10-07	-
GUOYUAN FUTURES (HONG KONG) LIMITED	Rep	期货合约交易	2016-08-11	2016-10-07
GUOYUAN SECURITIES BROKERAGE (HONG KONG) LIMITED	Rep	证券交易	2016-08-11	2016-10-07
Fosun International Securities Limited	RO	就证券提供意见	2015-11-18	2016-06-17
	RO	证券交易	2015-11-18	2016-06-17
	Rep	就证券提供意见	2015-09-14	2015-11-18
	Rep	证券交易	2015-09-14	2015-11-18
HUATAI FINANCIAL HOLDINGS (HONG KONG) LIMITED	RO	就证券提供意见	2012-10-18	2015-06-12
	RO	证券交易	2012-10-18	2015-06-12
	RO	期货合约交易	2012-08-03	2015-06-12
	Rep	期货合约交易	2012-07-13	2012-08-03
	Rep	证券交易	2012-07-13	2012-10-18
GUOYUAN SECURITIES BROKERAGE (HONG KONG) LIMITED	Rep	就证券提供意见	2011-10-24	2012-06-01
GUOYUAN FUTURES (HONG KONG) LIMITED	Rep	就期货合约提供意见	2011-03-04	2012-06-01
	RO	期货合约交易	2011-03-04	2012-06-01
	Rep	期货合约交易	2008-09-17	2011-03-04
GUOYUAN SECURITIES BROKERAGE (HONG KONG) LIMITED	Rep	证券交易	2008-08-07	2012-06-01
SINOLINK SECURITIES (HONG KONG) COMPANY LIMITED	Rep	证券交易	2008-02-06	2008-03-12
GUOTAI JUNAN FUTURES (HONG KONG) LIMITED	Rep	就期货合约提供意见	2003-04-01	2004-02-09
	Rep	提供资产管理	2003-04-01	2004-02-09
	Rep	期货合约交易	2003-04-01	2008-01-12
GUOTAI JUNAN SECURITIES (HONG KONG) LIMITED	Rep	就机构融资提供意见	2003-04-01	2004-02-09
	Rep	就证券提供意见	2003-04-01	2004-02-09
	Rep	提供资产管理	2003-04-01	2004-02-09
	Rep	证券交易	2003-04-01	2008-01-12

金管局登记

金管局有关人士登记与证监会牌照独立展示。EO 表示主管人员。

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已采集记录中暂无金管局登记。