Personnel Hong Kong SFC License Details (ID 82878)

Personnel Hong Kong SFC License Details (ID 82878)

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。

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机构	角色	受规管活动	开始日期	结束日期
ZENITH INNOVATION FINANCIAL GROUP LIMITED	RO	就证券提供意见	2025-10-06	-
	RO	提供资产管理	2025-10-06	-
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	RO	就期货合约提供意见	2014-06-20	2015-07-31
	RO	期货合约交易	2014-06-20	2015-07-31
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	RO	就证券提供意见	2014-06-20	2015-07-31
	RO	期货合约交易	2014-06-20	2015-07-31
	RO	证券交易	2014-06-20	2015-07-31
CHINA MERCHANTS FUTURES (HK) CO., LIMITED	Rep	就期货合约提供意见	2014-05-22	2014-06-20
	Rep	期货合约交易	2014-05-22	2014-06-20
CHINA MERCHANTS SECURITIES (HK) CO., LIMITED	Rep	就证券提供意见	2014-05-22	2014-06-20
	Rep	期货合约交易	2014-05-22	2014-06-20
	Rep	证券交易	2014-05-22	2014-06-20
HSBC BROKING (CHINA) LIMITED	RO	证券交易	2010-05-24	2014-04-07
HSBC BROKING FOREX (ASIA) LIMITED	RO	杠杆式外汇交易	2010-05-24	2014-04-07
HSBC BROKING FUTURES (ASIA) LIMITED	RO	期货合约交易	2010-05-24	2014-04-07
HSBC BROKING FUTURES (HONG KONG) LIMITED	RO	期货合约交易	2010-05-24	2013-08-19
HSBC BROKING SECURITIES (ASIA) LIMITED	RO	证券交易	2010-05-24	2014-04-07
HSBC BROKING SECURITIES (HONG KONG) LIMITED	RO	证券交易	2010-05-24	2014-04-07