Personnel SFC Licences and HKMA Registrations (ID 90540)

Personnel SFC Licences and HKMA Registrations (ID 90540)

关键资料牌照与登记公开纪律行动

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
J.P. MORGAN BROKING (HONG KONG) LIMITED	RO	就期货合约提供意见	2019-01-28	-
	RO	期货合约交易	2019-01-28	-
	Rep	就证券提供意见	2015-11-18	2016-10-17
	Rep	证券交易	2015-11-18	2016-10-17
	Rep	就期货合约提供意见	2015-11-18	2019-01-28
	Rep	期货合约交易	2015-11-18	2019-01-28
Credit Suisse (Hong Kong) Limited	Rep	提供自动化交易服务	2012-11-19	2013-11-01
	Rep	期货合约交易	2012-11-19	2015-08-22
	Rep	证券交易	2012-11-19	2015-08-22
Credit Suisse Securities (Hong Kong) Limited	Rep	证券交易	2012-11-19	2015-08-22
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	期货合约交易	2010-02-03	2012-08-09
Nomura Asia Investment (Hong Kong) Limited	Rep	期货合约交易	2008-12-15	2010-02-19
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	证券交易	2008-12-15	2012-08-09
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	期货合约交易	2008-10-10	2012-08-09
	Rep	证券交易	2008-10-10	2012-08-09
LEHMAN BROTHERS ASIA LIMITED	Rep	期货合约交易	2007-07-04	2008-09-29
	Rep	证券交易	2007-07-04	2008-09-29
LEHMAN BROTHERS SECURITIES ASIA LIMITED	Rep	证券交易	2007-07-04	2008-09-29
INDUS CAPITAL ADVISORS (HONG KONG) LIMITED	Rep	就证券提供意见	2007-04-16	2007-06-15

金管局登记

金管局有关人士登记与证监会牌照独立展示。EO 表示主管人员。

仅显示现任登记

已采集记录中暂无金管局登记。