Personnel Hong Kong SFC License Details (ID 83109)

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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
STATE STREET GLOBAL ADVISORS ASIA LIMITED	RO	就期货合约提供意见	2017-09-08	-
	RO	就证券提供意见	2017-09-08	-
	RO	提供资产管理	2017-09-08	-
STATE STREET GLOBAL ADVISORS SINGAPORE LIMITED	RO	就证券提供意见	2017-09-08	-
	RO	提供资产管理	2017-09-08	-
STATE STREET GLOBAL ADVISORS ASIA LIMITED	Rep	就期货合约提供意见	2015-02-04	2017-09-08
	Rep	就证券提供意见	2015-02-04	2017-09-08
	Rep	提供资产管理	2015-02-04	2017-09-08
HSBC Global Asset Management (Hong Kong) Limited	Rep	就期货合约提供意见	2014-10-23	2015-01-02
	Rep	就证券提供意见	2014-10-23	2015-01-02
	Rep	提供资产管理	2014-10-23	2015-01-02
	Rep	证券交易	2014-10-23	2015-01-02
HSBC INVESTMENT FUNDS (HONG KONG) LIMITED	Rep	证券交易	2014-10-23	2015-01-02
HSBC Global Asset Management (Hong Kong) Limited	Rep	就期货合约提供意见	2010-07-19	2013-01-02
	Rep	就证券提供意见	2010-07-19	2013-01-02
	Rep	提供资产管理	2010-07-19	2013-01-02
	Rep	证券交易	2010-07-19	2013-01-02
SINOPIA ASSET MANAGEMENT (ASIA PACIFIC) LIMITED	Rep	就期货合约提供意见	2010-07-19	2011-08-31
	Rep	就证券提供意见	2010-07-19	2011-08-31
	Rep	提供资产管理	2010-07-19	2011-08-31
	Rep	证券交易	2010-07-19	2011-08-31
Legg Mason Asset Management Hong Kong Limited	RO	就证券提供意见	2010-04-13	2010-06-26
	RO	提供资产管理	2010-04-13	2010-06-26
	RO	证券交易	2010-04-13	2010-06-26
	Rep	证券交易	2006-05-09	2010-04-13
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED (TRADING AS ESEMPLIA; ESEMPLIA EMERGING MARKETS)	Rep	证券交易	2006-05-09	2008-09-01
Legg Mason Asset Management Hong Kong Limited	Rep	就期货合约提供意见	2006-04-29	2006-05-26
	Rep	就证券提供意见	2006-04-29	2010-04-13
	Rep	提供资产管理	2006-04-29	2010-04-13
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED (TRADING AS ESEMPLIA; ESEMPLIA EMERGING MARKETS)	Rep	就期货合约提供意见	2006-04-29	2006-05-26
	Rep	就证券提供意见	2006-04-29	2008-09-01
	Rep	提供资产管理	2006-04-29	2008-09-01
STATE STREET GLOBAL ADVISORS SINGAPORE LIMITED	Rep	就证券提供意见	2005-07-05	2006-04-18
	Rep	提供资产管理	2005-07-05	2006-04-18
STATE STREET GLOBAL ADVISORS ASIA LIMITED	Rep	就期货合约提供意见	2003-04-28	2006-04-18
	Rep	就证券提供意见	2003-04-28	2006-04-18
	Rep	提供资产管理	2003-04-28	2006-04-18

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