Sze, Rick Wai Pang 施維鵬
证监会中央编号:AGK899
| 机构 | 角色 | 受规管活动 | 开始日期 | 结束日期 |
|---|---|---|---|---|
| BARCLAYS CAPITAL ASIA LIMITED | Rep | 期货合约交易 | 2022-06-24 | - |
| Rep | 证券交易 | 2022-06-24 | - | |
| Merrill Lynch (Asia Pacific) Limited | Rep | 证券交易 | 2011-08-04 | 2022-04-12 |
| Merrill Lynch Far East Limited | Rep | 期货合约交易 | 2011-08-04 | 2022-04-12 |
| Rep | 证券交易 | 2011-08-04 | 2022-04-12 | |
| GOLDMAN SACHS (ASIA) L.L.C. | Rep | 提供自动化交易服务 | 2009-02-20 | 2011-05-04 |
| Rep | 证券交易 | 2004-07-05 | 2011-05-04 | |
| GOLDMAN SACHS (ASIA) SECURITIES LIMITED | Rep | 证券交易 | 2004-07-05 | 2011-05-04 |
| GOLDMAN SACHS FUTURES (ASIA) LIMITED | Rep | 期货合约交易 | 2004-07-05 | 2011-05-04 |
| Credit Suisse Futures (Hong Kong) Limited | Rep | 就期货合约提供意见 | 2003-04-01 | 2004-04-07 |
| Rep | 提供资产管理 | 2003-04-01 | 2004-04-07 | |
| Rep | 提供自动化交易服务 | 2003-04-01 | 2004-04-07 | |
| Rep | 期货合约交易 | 2003-04-01 | 2004-04-07 | |
| Credit Suisse Securities (Hong Kong) Limited | Rep | 提供自动化交易服务 | 2003-04-01 | 2003-08-22 |
| Rep | 就机构融资提供意见 | 2003-04-01 | 2004-04-07 | |
| Rep | 就证券提供意见 | 2003-04-01 | 2004-04-07 | |
| Rep | 提供资产管理 | 2003-04-01 | 2004-04-07 | |
| Rep | 证券交易 | 2003-04-01 | 2004-04-07 |