Personnel Hong Kong SFC License Details (ID 90504)

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
Marex Financial Services Hong Kong Limited	RO	期货合约交易	2024-02-06	-
	RO	证券交易	2024-02-06	-
	Rep	期货合约交易	2023-12-01	2024-02-06
	Rep	证券交易	2023-12-01	2024-02-06
Xeram and Company (Asia) Limited	RO	期货合约交易	2019-05-17	2023-11-30
	RO	证券交易	2019-05-17	2023-11-30
Makto Capital Management Limited	RO	就证券提供意见	2017-09-20	2018-02-08
	Rep	就证券提供意见	2017-05-23	2017-09-20
	Rep	提供资产管理	2017-05-23	2018-02-08
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	提供自动化交易服务	2014-06-04	2015-11-30
	Rep	期货合约交易	2014-06-04	2016-11-25
	Rep	证券交易	2014-06-04	2016-11-25
CICC US Securities (Hong Kong) Limited	RO	证券交易	2013-10-24	2013-12-23
	Rep	证券交易	2012-11-28	2013-10-24
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG FUTURES LIMITED	Rep	期货合约交易	2012-08-13	2013-12-23
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	证券交易	2012-08-13	2013-12-23
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	期货合约交易	2011-08-15	2012-06-20
	Rep	证券交易	2011-08-15	2012-06-20
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	期货合约交易	2011-08-02	2012-06-20
	Rep	证券交易	2011-08-02	2012-06-20
J.P. MORGAN SECURITIES (FAR EAST) LIMITED	RO	就证券提供意见	2010-09-16	2011-01-10
	RO	证券交易	2010-09-16	2011-01-10
BEAR STEARNS ASIA LIMITED	RO	就期货合约提供意见	2008-09-24	2009-11-30
	RO	就证券提供意见	2008-09-24	2009-11-30
	RO	期货合约交易	2008-09-24	2009-11-30
	RO	证券交易	2008-09-24	2009-11-30
J.P. MORGAN BROKING (HONG KONG) LIMITED	RO	就期货合约提供意见	2008-09-24	2011-01-10
	RO	就证券提供意见	2008-09-24	2011-01-10
	RO	期货合约交易	2008-09-24	2011-01-10
	RO	证券交易	2008-09-24	2011-01-10
	Rep	就期货合约提供意见	2008-05-13	2008-09-24
	Rep	就证券提供意见	2008-05-13	2008-09-24
	Rep	期货合约交易	2008-04-18	2008-09-24
	Rep	证券交易	2008-04-18	2008-09-24
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	期货合约交易	2004-06-11	2008-03-04
GOLDMAN SACHS (ASIA) L.L.C.	Rep	就机构融资提供意见	2003-04-01	2004-06-01
	Rep	就证券提供意见	2003-04-01	2004-06-01
	Rep	提供资产管理	2003-04-01	2004-06-01
	Rep	证券交易	2003-04-01	2008-03-04
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	就机构融资提供意见	2003-04-01	2004-06-01
	Rep	就证券提供意见	2003-04-01	2004-06-01
	Rep	提供资产管理	2003-04-01	2004-06-01
	Rep	证券交易	2003-04-01	2008-03-04

人员