Personnel Hong Kong SFC License Details (ID 88266)

Personnel Hong Kong SFC License Details (ID 88266)

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
ASIA INVESTMENT RESEARCH LIMITED	RO	就证券提供意见	2018-10-08	-
	RO	提供资产管理	2018-10-08	-
SILVER GRANT INTERNATIONAL CAPITAL MANAGEMENT LIMITED	Rep	提供资产管理	2016-04-11	2018-09-20
	RO	就证券提供意见	2016-03-08	2018-09-20
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	证券交易	2014-07-31	2015-04-01
313 CAPITAL MANAGEMENT LIMITED 313	Rep	就证券提供意见	2012-11-02	2014-07-11
SOUTH CHINA SECURITIES LIMITED	Rep	证券交易	2012-11-02	2014-07-11
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	证券交易	2012-01-31	2012-03-31
MF Global Hong Kong Limited	Rep	就证券提供意见	2011-06-07	2011-11-11
	Rep	证券交易	2011-06-07	2011-11-11
CCB INTERNATIONAL SECURITIES LIMITED	Rep	证券交易	2009-02-02	2011-01-12
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	期货合约交易	2008-05-16	2008-10-21
Merrill Lynch (Asia Pacific) Limited	Rep	证券交易	2005-09-01	2008-10-21
Merrill Lynch Far East Limited	Rep	证券交易	2005-09-01	2008-10-21
BOCI SECURITIES LIMITED	Rep	证券交易	2003-09-23	2005-09-01
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	就机构融资提供意见	2003-04-01	2003-04-11
	Rep	就证券提供意见	2003-04-01	2003-04-11
	Rep	提供资产管理	2003-04-01	2003-04-11
	Rep	证券交易	2003-04-01	2003-04-11