Personnel Hong Kong SFC License Details (ID 84048)

Personnel Hong Kong SFC License Details (ID 84048)

关键资料证监会牌照公开纪律行动

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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
CIF Asset Management Limited	Rep	提供资产管理	2017-10-09	-
CATHAY SECURITIES (HONG KONG) LIMITED	Rep	就证券提供意见	2016-12-20	2017-08-31
	Rep	证券交易	2016-12-20	2017-08-31
INVESCO HONG KONG LIMITED (TRADING AS INVESCO ASIA PACIFIC)	Rep	提供资产管理	2011-08-03	2012-12-07
CITIC Securities Brokerage (HK) Limited	Rep	证券交易	2007-12-17	2011-07-09
CITIC Securities Futures (HK) Limited	Rep	期货合约交易	2007-12-17	2011-07-09
CSC FUTURES (HK) LIMITED	Rep	期货合约交易	2006-07-28	2007-12-13
CSC SECURITIES (HK) LIMITED	Rep	证券交易	2006-06-28	2007-12-13
SINOLINK SECURITIES (HONG KONG) COMPANY LIMITED	Rep	就证券提供意见	2005-08-31	2006-06-23
PRIME CAPITAL MANAGEMENT COMPANY LIMITED	Rep	提供资产管理	2004-12-13	2005-08-31
SINOLINK SECURITIES (HONG KONG) COMPANY LIMITED	Rep	提供资产管理	2004-04-06	2005-11-21
	Rep	证券交易	2004-02-27	2006-06-23
SOUTHWEST SECURITIES (HK) FUTURES LIMITED	Rep	期货合约交易	2003-08-20	2003-11-06