Personnel Hong Kong SFC License Details (ID 90697)

Personnel Hong Kong SFC License Details (ID 90697)

关键资料证监会牌照公开纪律行动

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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
Macquarie Asia Securities Limited	Rep	证券交易	2024-01-15	-
	RO	证券交易	2020-09-03	2024-01-15
MACQUARIE CAPITAL LIMITED	Rep	证券交易	2018-03-22	2018-06-25
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	期货合约交易	2010-02-03	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	2013-12-14
	Rep	证券交易	2008-10-10	2013-12-14
LEHMAN BROTHERS ASIA LIMITED	Rep	期货合约交易	2004-05-03	2008-09-29
	Rep	证券交易	2004-05-03	2008-09-29
RBS Asia Futures Limited	Rep	期货合约交易	2003-09-04	2004-04-15
Credit Agricole Securities (Asia) Limited	Rep	就机构融资提供意见	2003-04-01	2003-09-01
	Rep	就证券提供意见	2003-04-01	2003-09-01
	Rep	提供资产管理	2003-04-01	2003-09-01
	Rep	证券交易	2003-04-01	2004-04-15
RBS Asia Securities (Hong Kong) Limited	Rep	就机构融资提供意见	2003-04-01	2003-09-01
	Rep	就证券提供意见	2003-04-01	2003-09-01
	Rep	提供资产管理	2003-04-01	2003-09-01
	Rep	证券交易	2003-04-01	2004-04-15