Personnel Hong Kong SFC License Details (ID 90388)

Personnel Hong Kong SFC License Details (ID 90388)

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
Privium Fund Management (HK) Limited	Rep	提供资产管理	2021-12-17	2022-10-19
HAITONG INTERNATIONAL FUTURES LIMITED	RO	期货合约交易	2020-12-04	2021-08-20
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	RO	证券交易	2020-12-04	2021-08-20
	Rep	就证券提供意见	2016-09-29	2021-08-20
HAITONG INTERNATIONAL FUTURES LIMITED	Rep	期货合约交易	2016-01-05	2020-12-04
HAITONG INTERNATIONAL SECURITIES COMPANY LIMITED	Rep	证券交易	2016-01-05	2020-12-04
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	期货合约交易	2010-02-04	2013-04-23
Nomura Asia Investment (Hong Kong) Limited	Rep	期货合约交易	2008-12-08	2010-02-19
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	证券交易	2008-12-08	2013-04-23
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	期货合约交易	2008-10-10	2015-12-01
	Rep	证券交易	2008-10-10	2015-12-01
LEHMAN BROTHERS ASIA LIMITED	Rep	期货合约交易	2007-04-20	2008-09-29
	Rep	证券交易	2007-04-20	2008-09-29
LEHMAN BROTHERS FUTURES ASIA LIMITED	Rep	期货合约交易	2007-04-20	2008-09-29
LEHMAN BROTHERS SECURITIES ASIA LIMITED	Rep	证券交易	2007-04-20	2008-09-29