Personnel Hong Kong SFC License Details (ID 84992)

Personnel Hong Kong SFC License Details (ID 84992)

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
SHANXI SECURITIES INTERNATIONAL FUTURES LIMITED	RO	期货合约交易	2018-02-08	-
SHANXI SECURITIES INTERNATIONAL LIMITED	RO	证券交易	2018-02-08	-
SHANXI SECURITIES INTERNATIONAL FUTURES LIMITED	Rep	期货合约交易	2016-12-19	2018-02-08
SHANXI SECURITIES INTERNATIONAL LIMITED	Rep	证券交易	2015-07-03	2018-02-08
SHANXI SECURITIES INTERNATIONAL FINANCIAL HOLDINGS LIMITED	Rep	期货合约交易	2015-03-26	2017-03-31
HSBC BROKING FUTURES (ASIA) LIMITED	Rep	期货合约交易	2014-03-12	2014-09-28
HSBC BROKING SECURITIES (ASIA) LIMITED	Rep	证券交易	2014-03-12	2014-09-28
GRAND CATHAY SECURITIES (HONG KONG) LIMITED	Rep	证券交易	2012-10-05	2014-03-03
KGI ASIA LIMITED	Rep	证券交易	2010-02-17	2014-03-03
KGI WEALTH MANAGEMENT LIMITED	Rep	证券交易	2010-01-07	2014-03-03
	Rep	就证券提供意见	2009-12-14	2014-03-03
Fuh Hwa SITE Asset Management (Hong Kong) Limited	Rep	就证券提供意见	2009-06-18	2009-08-31
	Rep	提供资产管理	2009-06-18	2009-08-31
Mirae Asset Securities (HK) Limited	Rep	证券交易	2007-12-03	2008-05-17
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	证券交易	2007-06-18	2007-11-23
CORE PACIFIC-YAMAICHI FUTURES (H.K.) LIMITED	Rep	期货合约交易	2007-06-18	2007-11-23
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	证券交易	2007-06-18	2007-11-23
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	期货合约交易	2005-10-31	2007-06-09
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	证券交易	2005-07-08	2007-06-09