Personnel Hong Kong SFC License Details (ID 87542)

Personnel Hong Kong SFC License Details (ID 87542)

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
Ovata Capital Management Limited	Rep	提供资产管理	2021-08-05	2023-10-31
DEUTSCHE SECURITIES ASIA LIMITED	Rep	期货合约交易	2017-10-30	2019-07-29
	Rep	证券交易	2017-10-30	2019-07-29
Citigroup Global Markets Asia Limited	Rep	期货合约交易	2015-05-07	2017-09-07
	Rep	证券交易	2015-05-07	2017-09-07
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	就期货合约提供意见	2012-06-11	2015-02-22
	Rep	就证券提供意见	2012-06-11	2015-02-22
	Rep	期货合约交易	2012-06-11	2015-02-22
	Rep	证券交易	2012-06-11	2015-02-22
Merrill Lynch Far East Limited	Rep	期货合约交易	2010-08-20	2012-03-09
Merrill Lynch (Asia Pacific) Limited	Rep	证券交易	2007-11-14	2012-03-09
Merrill Lynch Far East Limited	Rep	证券交易	2007-11-14	2012-03-09
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	期货合约交易	2007-11-14	2010-08-20
Merrill Lynch (Asia Pacific) Limited	Rep	证券交易	2007-02-07	2007-10-29
Merrill Lynch Far East Limited	Rep	证券交易	2007-02-07	2007-10-29
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	期货合约交易	2007-02-07	2007-10-29