Personnel SFC Licences and HKMA Registrations (ID 82875)

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
BOCI SECURITIES LIMITED	Rep	就证券提供意见	2018-09-06	-
	Rep	期货合约交易	2014-01-06	-
	Rep	证券交易	2014-01-06	-
	Rep	杠杆式外汇交易	2014-01-06	2014-11-21
HSBC BROKING FOREX (ASIA) LIMITED	Rep	杠杆式外汇交易	2013-07-08	2013-12-13
HSBC BROKING FUTURES (ASIA) LIMITED	Rep	期货合约交易	2013-07-08	2013-12-13
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	证券交易	2013-07-08	2013-12-13
HSBC BROKING FOREX (ASIA) LIMITED	RO	杠杆式外汇交易	2010-03-16	2013-07-08
HSBC BROKING FUTURES (ASIA) LIMITED	RO	期货合约交易	2010-03-16	2013-07-08
HSBC BROKING FUTURES (HONG KONG) LIMITED	RO	期货合约交易	2010-03-16	2013-01-22
HSBC BROKING (CHINA) LIMITED	RO	证券交易	2009-12-24	2013-12-13
HSBC BROKING SECURITIES (ASIA) LIMITED	RO	证券交易	2006-09-04	2013-07-08
HSBC BROKING FOREX (ASIA) LIMITED	Rep	杠杆式外汇交易	2003-04-01	2010-03-16
HSBC BROKING FUTURES (ASIA) LIMITED	Rep	就期货合约提供意见	2003-04-01	2004-08-05
	Rep	提供资产管理	2003-04-01	2004-08-05
	Rep	期货合约交易	2003-04-01	2010-03-16
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	提供自动化交易服务	2003-04-01	2003-09-02
	Rep	就机构融资提供意见	2003-04-01	2004-08-05
	Rep	就证券提供意见	2003-04-01	2004-08-05
	Rep	提供资产管理	2003-04-01	2004-08-05
	Rep	证券交易	2003-04-01	2006-09-04

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。