Personnel Hong Kong SFC License Details (ID 90690)

Personnel Hong Kong SFC License Details (ID 90690)

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
Standard Chartered Securities (Hong Kong) Limited	Rep	就证券提供意见	2014-02-07	2014-02-28
	Rep	就期货合约提供意见	2013-02-05	2014-02-28
	Rep	期货合约交易	2013-02-05	2014-02-28
	Rep	证券交易	2012-06-20	2014-02-28
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	期货合约交易	2008-10-10	2011-11-12
	Rep	证券交易	2008-10-10	2011-11-12
LEHMAN BROTHERS ASIA LIMITED	Rep	期货合约交易	2007-07-09	2008-09-29
	Rep	证券交易	2007-07-09	2008-09-29
Morgan Stanley Asia Limited	Rep	提供自动化交易服务	2006-07-20	2007-06-07
	Rep	证券交易	2006-07-20	2007-06-07
Morgan Stanley Hong Kong Futures Limited	Rep	提供自动化交易服务	2006-07-20	2007-06-07
	Rep	期货合约交易	2006-07-20	2007-06-07
Morgan Stanley Hong Kong Securities Limited	Rep	证券交易	2006-07-20	2007-06-07
Citigroup Global Markets Asia Limited	Rep	证券交易	2004-06-15	2006-06-20
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	期货合约交易	2004-06-15	2006-06-20