Personnel SFC Licences and HKMA Registrations (ID 83061)

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
Vantage Capital Markets HK Limited	Rep	期货合约交易	2025-04-14	-
	Rep	证券交易	2025-04-14	-
BANDS Financial Limited	Rep	期货合约交易	2025-02-26	2025-04-01
CCB INTERNATIONAL SECURITIES LIMITED	Rep	期货合约交易	2022-04-27	2023-06-30
Vantage Capital Markets HK Limited	Rep	期货合约交易	2015-09-10	2022-04-12
	Rep	证券交易	2015-09-10	2022-04-12
Jefferies Hong Kong Limited	Rep	证券交易	2012-12-14	2015-08-14
	Rep	期货合约交易	2012-10-10	2015-08-14
JEFFERIES BACHE (HONG KONG) LIMITED	Rep	期货合约交易	2012-07-09	2012-11-30
HSBC BROKING FUTURES (HONG KONG) LIMITED	Rep	期货合约交易	2011-01-24	2012-04-16
HSBC FUTURES (SINGAPORE) PTE LTD	Rep	期货合约交易	2011-01-24	2012-03-23
Credit Suisse (Hong Kong) Limited	Rep	提供自动化交易服务	2008-11-07	2010-09-14
	Rep	期货合约交易	2008-11-07	2010-09-14
	Rep	证券交易	2005-07-27	2010-09-14
Credit Suisse Futures (Hong Kong) Limited	Rep	提供自动化交易服务	2005-07-27	2008-11-24
	Rep	期货合约交易	2005-07-27	2008-11-24
Credit Suisse Securities (Hong Kong) Limited	Rep	证券交易	2005-07-27	2010-09-14
HSBC BROKING FUTURES (HONG KONG) LIMITED	Rep	就期货合约提供意见	2003-04-01	2004-01-19
	Rep	提供资产管理	2003-04-01	2004-01-19
	Rep	期货合约交易	2003-04-01	2005-07-07
HSBC FUTURES (SINGAPORE) PTE LTD	Rep	就期货合约提供意见	2003-04-01	2003-08-29
	Rep	提供资产管理	2003-04-01	2003-08-29
	Rep	期货合约交易	2003-04-01	2005-07-07
HSBC SECURITIES (ASIA) LIMITED	Rep	就机构融资提供意见	2003-04-01	2004-01-19
	Rep	就证券提供意见	2003-04-01	2004-01-19
	Rep	提供资产管理	2003-04-01	2004-01-19
	Rep	证券交易	2003-04-01	2005-07-07

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。