Personnel Hong Kong SFC License Details (ID 87367)

Personnel Hong Kong SFC License Details (ID 87367)

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	Rep	就期货合约提供意见	2014-02-14	2014-12-06
	Rep	就证券提供意见	2014-02-14	2014-12-06
	RO	期货合约交易	2014-02-14	2014-12-06
	RO	证券交易	2014-02-14	2014-12-06
	Rep	期货合约交易	2013-08-26	2014-02-14
	Rep	证券交易	2013-08-26	2014-02-14
Merrill Lynch Far East Limited	RO	期货合约交易	2010-08-27	2013-05-25
Merrill Lynch (Asia Pacific) Limited	RO	证券交易	2010-08-06	2013-05-25
Merrill Lynch Far East Limited	RO	证券交易	2010-08-06	2013-05-25
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	RO	期货合约交易	2010-08-06	2010-12-31
Merrill Lynch (Asia Pacific) Limited	Rep	证券交易	2008-08-19	2010-08-06
Merrill Lynch Far East Limited	Rep	证券交易	2008-08-19	2010-08-06
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	期货合约交易	2008-08-19	2010-08-06
Merrill Lynch (Asia Pacific) Limited	Rep	就机构融资提供意见	-	2004-02-01
	Rep	就证券提供意见	-	2004-02-01
	Rep	提供资产管理	-	2004-02-01
	Rep	提供自动化交易服务	-	2004-02-01
	Rep	证券交易	-	2004-02-01