Personnel Hong Kong SFC License Details (ID 87521)

Personnel Hong Kong SFC License Details (ID 87521)

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
Citigroup Global Markets Asia Limited	RO	就机构融资提供意见	2024-04-16	-
	RO	证券交易	2024-04-16	-
	Rep	就机构融资提供意见	2015-09-09	2024-04-16
	Rep	证券交易	2015-09-09	2024-04-16
Merrill Lynch (Asia Pacific) Limited	Rep	就证券提供意见	2007-06-21	2015-06-08
Merrill Lynch Far East Limited	Rep	就证券提供意见	2007-06-21	2015-06-08
Merrill Lynch (Asia Pacific) Limited	Rep	就机构融资提供意见	2007-05-22	2015-06-08
	Rep	证券交易	2007-05-22	2015-06-08
Merrill Lynch Far East Limited	Rep	就机构融资提供意见	2007-05-22	2015-06-08
	Rep	证券交易	2007-05-22	2015-06-08
RBS Asia Corporate Finance Limited	Rep	就机构融资提供意见	2006-03-27	2007-05-21
	Rep	证券交易	2006-03-27	2007-05-21
ROTHSCHILD &AMP; CO HONG KONG LIMITED	Rep	就机构融资提供意见	2005-04-27	2006-02-28
	Rep	就证券提供意见	2005-04-27	2006-02-28
	Rep	证券交易	2005-04-27	2006-02-28