Shen, Allan Hung Yat 沈鴻逸

证监会中央编号:AIC834

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
SG SECURITIES (HK) LIMITED	Rep	期货合约交易	2018-11-23	-
	Rep	证券交易	2018-11-23	-
UBS SECURITIES ASIA LIMITED	Rep	期货合约交易	2017-10-16	2017-11-22
	Rep	证券交易	2017-10-16	2017-11-22
SG SECURITIES (HK) LIMITED	Rep	期货合约交易	2016-02-01	2017-07-05
	Rep	证券交易	2016-02-01	2017-07-05
Newedge Broker Hong Kong Limited	Rep	期货合约交易	2015-07-20	2016-07-29
SG Asset Finance (Hong Kong) Limited	Rep	期货合约交易	2015-07-20	2016-04-29
	Rep	证券交易	2015-07-20	2016-04-29
Jefferies Hong Kong Limited	Rep	证券交易	2013-01-08	2015-07-06
	Rep	期货合约交易	2012-12-03	2015-07-06
HSBC BROKING FUTURES (HONG KONG) LIMITED	Rep	期货合约交易	2009-07-06	2012-09-29
HSBC FUTURES (SINGAPORE) PTE LTD	Rep	就期货合约提供意见	2009-07-06	2012-03-23
	Rep	期货合约交易	2009-07-06	2012-03-23
Morgan Stanley Asia Limited	Rep	提供自动化交易服务	2007-08-01	2009-02-13
	Rep	证券交易	2007-08-01	2009-02-13
Morgan Stanley Hong Kong Futures Limited	Rep	提供自动化交易服务	2007-08-01	2009-02-13
	Rep	期货合约交易	2007-08-01	2009-02-13
Morgan Stanley Hong Kong Securities Limited	Rep	证券交易	2007-08-01	2009-02-13
UBS DERIVATIVES HONG KONG LIMITED	Rep	期货合约交易	2006-10-02	2007-06-30
UBS SECURITIES ASIA LIMITED	Rep	期货合约交易	2006-10-02	2007-06-30
	Rep	证券交易	2006-10-02	2007-06-30
UBS SECURITIES HONG KONG LIMITED	Rep	证券交易	2006-10-02	2007-06-30
Credit Agricole Securities (Asia) Limited	Rep	证券交易	2005-03-03	2006-09-30
RBS Asia Futures Limited	Rep	期货合约交易	2003-08-13	2006-09-30
HSBC BROKING FUTURES (HONG KONG) LIMITED	Rep	就期货合约提供意见	2003-04-01	2003-08-01
	Rep	提供资产管理	2003-04-01	2003-08-01
	Rep	期货合约交易	2003-04-01	2003-08-01
HSBC FUTURES (SINGAPORE) PTE LTD	Rep	就期货合约提供意见	2003-04-01	2003-08-01
	Rep	提供资产管理	2003-04-01	2003-08-01
	Rep	期货合约交易	2003-04-01	2003-08-01

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
SG SECURITIES (HK) LIMITED	Rep	期货合约交易	2018-11-23	-
	Rep	证券交易	2018-11-23	-
UBS SECURITIES ASIA LIMITED	Rep	期货合约交易	2017-10-16	2017-11-22
	Rep	证券交易	2017-10-16	2017-11-22
SG SECURITIES (HK) LIMITED	Rep	期货合约交易	2016-02-01	2017-07-05
	Rep	证券交易	2016-02-01	2017-07-05
Newedge Broker Hong Kong Limited	Rep	期货合约交易	2015-07-20	2016-07-29
SG Asset Finance (Hong Kong) Limited	Rep	期货合约交易	2015-07-20	2016-04-29
	Rep	证券交易	2015-07-20	2016-04-29
Jefferies Hong Kong Limited	Rep	证券交易	2013-01-08	2015-07-06
	Rep	期货合约交易	2012-12-03	2015-07-06
HSBC BROKING FUTURES (HONG KONG) LIMITED	Rep	期货合约交易	2009-07-06	2012-09-29
HSBC FUTURES (SINGAPORE) PTE LTD	Rep	就期货合约提供意见	2009-07-06	2012-03-23
	Rep	期货合约交易	2009-07-06	2012-03-23
Morgan Stanley Asia Limited	Rep	提供自动化交易服务	2007-08-01	2009-02-13
	Rep	证券交易	2007-08-01	2009-02-13
Morgan Stanley Hong Kong Futures Limited	Rep	提供自动化交易服务	2007-08-01	2009-02-13
	Rep	期货合约交易	2007-08-01	2009-02-13
Morgan Stanley Hong Kong Securities Limited	Rep	证券交易	2007-08-01	2009-02-13
UBS DERIVATIVES HONG KONG LIMITED	Rep	期货合约交易	2006-10-02	2007-06-30
UBS SECURITIES ASIA LIMITED	Rep	期货合约交易	2006-10-02	2007-06-30
	Rep	证券交易	2006-10-02	2007-06-30
UBS SECURITIES HONG KONG LIMITED	Rep	证券交易	2006-10-02	2007-06-30
Credit Agricole Securities (Asia) Limited	Rep	证券交易	2005-03-03	2006-09-30
RBS Asia Futures Limited	Rep	期货合约交易	2003-08-13	2006-09-30
HSBC BROKING FUTURES (HONG KONG) LIMITED	Rep	就期货合约提供意见	2003-04-01	2003-08-01
	Rep	提供资产管理	2003-04-01	2003-08-01
	Rep	期货合约交易	2003-04-01	2003-08-01
HSBC FUTURES (SINGAPORE) PTE LTD	Rep	就期货合约提供意见	2003-04-01	2003-08-01
	Rep	提供资产管理	2003-04-01	2003-08-01
	Rep	期货合约交易	2003-04-01	2003-08-01