Personnel Hong Kong SFC License Details (ID 88276)

Personnel Hong Kong SFC License Details (ID 88276)

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。

显示机构旧称

仅显示现有牌照

机构	角色	受规管活动	开始日期	结束日期
CHINA INDUSTRIAL SECURITIES INTERNATIONAL BROKERAGE LIMITED	RO	就证券提供意见	2016-02-04	2021-05-07
	RO	证券交易	2016-02-04	2021-05-07
	Rep	就证券提供意见	2015-06-30	2016-02-04
	Rep	证券交易	2015-06-30	2016-02-04
CORE PACIFIC - YAMAICHI INTERNATIONAL (H.K.) LIMITED	Rep	就证券提供意见	2014-01-08	2015-04-09
	Rep	证券交易	2014-01-08	2015-04-09
CORE PACIFIC-YAMAICHI SECURITIES (H.K.) LIMITED	Rep	证券交易	2014-01-08	2015-04-09
PRINCIPAL INVESTMENT &AMP; RETIREMENT SERVICES LIMITED	RO	就证券提供意见	2012-09-28	2013-12-12
	RO	证券交易	2012-09-28	2013-12-12
MIDLAND WEALTH MANAGEMENT LIMITED	RO	就证券提供意见	2011-09-08	2012-08-08
	RO	证券交易	2011-09-08	2012-08-08
	Rep	证券交易	2008-03-14	2011-09-08
	Rep	就证券提供意见	2008-03-05	2011-09-08
CYPRESS INTERNATIONAL INVESTMENT ADVISORS LIMITED	Rep	就证券提供意见	2007-04-03	2007-10-31