Personnel Hong Kong SFC License Details (ID 88106)

Personnel Hong Kong SFC License Details (ID 88106)

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
Morgan Stanley Asia Limited	Rep	证券交易	2015-03-13	2016-07-04
Morgan Stanley Hong Kong Securities Limited	Rep	提供自动化交易服务	2015-03-13	2016-07-04
	Rep	期货合约交易	2015-03-13	2016-07-04
	Rep	证券交易	2015-03-13	2016-07-04
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	期货合约交易	2013-12-03	2015-01-27
	Rep	证券交易	2013-12-03	2015-01-27
Merrill Lynch Far East Limited	Rep	期货合约交易	2010-08-20	2013-08-31
Merrill Lynch (Asia Pacific) Limited	Rep	证券交易	2010-04-19	2013-08-31
Merrill Lynch Far East Limited	Rep	证券交易	2010-04-19	2013-08-31
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	期货合约交易	2010-04-19	2010-08-20
UBS DERIVATIVES HONG KONG LIMITED	Rep	期货合约交易	2008-03-28	2010-03-15
UBS SECURITIES ASIA LIMITED	Rep	期货合约交易	2008-03-28	2010-03-15
	Rep	证券交易	2008-03-28	2010-03-15
UBS SECURITIES HONG KONG LIMITED	Rep	证券交易	2008-03-28	2010-03-15