Chan, Kar Lok 陳家樂

证监会中央编号:ABE379

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。

显示机构旧称

仅显示现有牌照

机构	角色	受规管活动	开始日期	结束日期
SDIC SECURITIES (HONG KONG) LIMITED	RO	就证券提供意见	2013-01-24	-
	RO	证券交易	2012-08-01	-
SDIC SECURITIES FUTURES (HONG KONG) LIMITED	RO	期货合约交易	2012-08-01	-
SDIC SECURITIES (HONG KONG) LIMITED	Rep	证券交易	2012-06-19	2012-08-01
	Rep	就证券提供意见	2012-06-19	2013-01-24
SDIC SECURITIES FUTURES (HONG KONG) LIMITED	Rep	期货合约交易	2012-06-19	2012-08-01
HAITONG INTERNATIONAL FUTURES LIMITED	RO	期货合约交易	2010-05-20	2012-06-08
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	就证券提供意见	2010-05-20	2012-06-08
	RO	证券交易	2010-05-20	2012-06-08
HAI TONG SECURITIES (HK) BROKERAGE LIMITED	RO	期货合约交易	2009-01-16	2011-05-03
	RO	证券交易	2009-01-16	2011-05-03
	Rep	期货合约交易	2008-10-09	2009-01-16
	Rep	证券交易	2008-10-09	2009-01-16
	Rep	就证券提供意见	2008-10-09	2011-01-07
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	就证券提供意见	2006-07-27	2008-09-30
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	Rep	期货合约交易	2006-01-09	2008-09-30
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	证券交易	2006-01-09	2008-09-30
UOB KAY HIAN (HONG KONG) LIMITED	Rep	证券交易	2004-12-13	2005-12-30
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	期货合约交易	2004-12-13	2005-12-30
BNP PARIBAS PEREGRINE FUTURES LIMITED	Rep	就期货合约提供意见	2003-04-01	2004-02-04
	Rep	提供资产管理	2003-04-01	2004-02-04
	Rep	期货合约交易	2003-04-01	2004-12-11
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	就机构融资提供意见	2003-04-01	2004-02-04
	Rep	就证券提供意见	2003-04-01	2004-02-04
	Rep	提供资产管理	2003-04-01	2004-02-04
	Rep	证券交易	2003-04-01	2004-12-11

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。

显示机构旧称

仅显示现有牌照

机构	角色	受规管活动	开始日期	结束日期
SDIC SECURITIES (HONG KONG) LIMITED	RO	就证券提供意见	2013-01-24	-
	RO	证券交易	2012-08-01	-
SDIC SECURITIES FUTURES (HONG KONG) LIMITED	RO	期货合约交易	2012-08-01	-
SDIC SECURITIES (HONG KONG) LIMITED	Rep	证券交易	2012-06-19	2012-08-01
	Rep	就证券提供意见	2012-06-19	2013-01-24
SDIC SECURITIES FUTURES (HONG KONG) LIMITED	Rep	期货合约交易	2012-06-19	2012-08-01
HAITONG INTERNATIONAL FUTURES LIMITED	RO	期货合约交易	2010-05-20	2012-06-08
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	就证券提供意见	2010-05-20	2012-06-08
	RO	证券交易	2010-05-20	2012-06-08
HAI TONG SECURITIES (HK) BROKERAGE LIMITED	RO	期货合约交易	2009-01-16	2011-05-03
	RO	证券交易	2009-01-16	2011-05-03
	Rep	期货合约交易	2008-10-09	2009-01-16
	Rep	证券交易	2008-10-09	2009-01-16
	Rep	就证券提供意见	2008-10-09	2011-01-07
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	就证券提供意见	2006-07-27	2008-09-30
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	Rep	期货合约交易	2006-01-09	2008-09-30
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	证券交易	2006-01-09	2008-09-30
UOB KAY HIAN (HONG KONG) LIMITED	Rep	证券交易	2004-12-13	2005-12-30
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	期货合约交易	2004-12-13	2005-12-30
BNP PARIBAS PEREGRINE FUTURES LIMITED	Rep	就期货合约提供意见	2003-04-01	2004-02-04
	Rep	提供资产管理	2003-04-01	2004-02-04
	Rep	期货合约交易	2003-04-01	2004-12-11
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	就机构融资提供意见	2003-04-01	2004-02-04
	Rep	就证券提供意见	2003-04-01	2004-02-04
	Rep	提供资产管理	2003-04-01	2004-02-04
	Rep	证券交易	2003-04-01	2004-12-11