Personnel Hong Kong SFC License Details (ID 87366)

Personnel Hong Kong SFC License Details (ID 87366)

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
NOMURA INTERNATIONAL (HONG KONG) LIMITED	RO	就期货合约提供意见	2013-05-16	2015-01-21
	RO	就证券提供意见	2013-05-16	2015-01-21
	RO	期货合约交易	2013-05-16	2015-01-21
	RO	证券交易	2013-05-16	2015-01-21
	Rep	期货合约交易	2013-04-11	2013-05-16
	Rep	证券交易	2013-04-11	2013-05-16
Merrill Lynch Far East Limited	RO	期货合约交易	2010-08-20	2011-10-10
Merrill Lynch (Asia Pacific) Limited	RO	提供自动化交易服务	2008-10-09	2011-10-10
	RO	证券交易	2008-10-09	2011-10-10
Merrill Lynch Far East Limited	RO	证券交易	2008-10-09	2011-10-10
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	RO	期货合约交易	2008-10-09	2010-12-31
Merrill Lynch (Asia Pacific) Limited	Rep	提供自动化交易服务	2007-12-10	2008-10-09
	Rep	证券交易	2007-12-10	2008-10-09
Merrill Lynch Far East Limited	Rep	证券交易	2007-12-10	2008-10-09
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	期货合约交易	2007-12-10	2008-10-09