Personnel Hong Kong SFC License Details (ID 87825)

Personnel Hong Kong SFC License Details (ID 87825)

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
UOB KAY HIAN (HONG KONG) LIMITED	Rep	就证券提供意见	2017-05-26	-
	Rep	证券交易	2017-05-26	-
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	期货合约交易	2017-05-26	-
Citigroup Global Markets Asia Limited	Rep	就证券提供意见	2014-03-07	2017-05-17
	Rep	期货合约交易	2014-03-07	2017-05-17
	Rep	证券交易	2014-03-07	2017-05-17
Merrill Lynch (Asia Pacific) Limited	Rep	就证券提供意见	2011-11-01	2013-11-26
Merrill Lynch Far East Limited	Rep	期货合约交易	2010-09-20	2013-11-26
Merrill Lynch (Asia Pacific) Limited	Rep	证券交易	2008-05-22	2013-11-26
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	期货合约交易	2008-05-22	2010-09-20
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	证券交易	2003-10-16	2008-05-14
Citigroup Global Markets Asia Limited	Rep	就机构融资提供意见	2003-04-01	2003-10-10
	Rep	就证券提供意见	2003-04-01	2003-10-10
	Rep	提供资产管理	2003-04-01	2003-10-10
	Rep	提供自动化交易服务	2003-04-01	2003-10-10
	Rep	证券交易	2003-04-01	2008-05-14
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	就期货合约提供意见	2003-04-01	2003-10-10
	Rep	提供资产管理	2003-04-01	2003-10-10
	Rep	期货合约交易	2003-04-01	2008-05-14