Personnel Hong Kong SFC License Details (ID 87395)

Personnel Hong Kong SFC License Details (ID 87395)

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
Merrill Lynch Far East Limited	Rep	期货合约交易	2010-09-02	2012-05-11
Merrill Lynch (Asia Pacific) Limited	Rep	证券交易	2007-05-09	2012-05-11
Merrill Lynch Far East Limited	Rep	证券交易	2007-05-09	2012-05-11
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	期货合约交易	2007-05-09	2010-09-02
UBS DERIVATIVES HONG KONG LIMITED	Rep	期货合约交易	2006-10-02	2007-03-30
UBS SECURITIES ASIA LIMITED	Rep	期货合约交易	2006-10-02	2007-03-30
RBS Asia Futures Limited	Rep	期货合约交易	2006-09-05	2006-09-30
Newedge Broker Hong Kong Limited	Rep	期货合约交易	2005-11-16	2006-07-18