Personnel Hong Kong SFC License Details (ID 89180)

Personnel Hong Kong SFC License Details (ID 89180)

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
HSBC SECURITIES BROKERS (ASIA) LIMITED	Rep	证券交易	2022-05-18	-
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	提供自动化交易服务	2013-06-03	2015-08-07
	Rep	期货合约交易	2013-06-03	2015-08-07
	Rep	证券交易	2013-06-03	2015-08-07
ICBC INTERNATIONAL SECURITIES LIMITED	RO	证券交易	2012-12-04	2013-04-20
ICBC INTERNATIONAL FUTURES LIMITED	Rep	期货合约交易	2012-09-10	2013-04-20
ICBC INTERNATIONAL SECURITIES LIMITED	Rep	证券交易	2012-09-10	2012-12-04
Morgan Stanley Hong Kong Securities Limited	Rep	期货合约交易	2010-12-06	2012-06-04
Morgan Stanley Asia Limited	Rep	提供自动化交易服务	2006-03-28	2012-06-04
Morgan Stanley Hong Kong Futures Limited	Rep	提供自动化交易服务	2006-03-28	2010-12-06
	Rep	期货合约交易	2004-02-24	2010-12-06
Morgan Stanley Asia Limited	Rep	证券交易	2004-02-09	2012-06-04
CLSA LIMITED	Rep	就机构融资提供意见	2003-04-01	2004-01-07
	Rep	就证券提供意见	2003-04-01	2004-01-07
	Rep	提供资产管理	2003-04-01	2004-01-07
	Rep	证券交易	2003-04-01	2004-01-07