Personnel Hong Kong SFC License Details (ID 90855)

Personnel Hong Kong SFC License Details (ID 90855)

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
Merrill Lynch Far East Limited	Rep	提供自动化交易服务	2013-08-19	2018-11-01
Merrill Lynch (Asia Pacific) Limited	Rep	证券交易	2012-10-09	-
	Rep	提供自动化交易服务	2012-10-09	2013-09-23
Merrill Lynch Far East Limited	Rep	期货合约交易	2012-10-09	-
	Rep	证券交易	2012-10-09	-
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	提供自动化交易服务	2010-06-07	2012-07-10
	Rep	证券交易	2010-06-07	2012-07-10
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	期货合约交易	2008-10-15	2012-07-10
	Rep	证券交易	2008-10-15	2012-07-10
LEHMAN BROTHERS ASIA LIMITED	Rep	期货合约交易	2008-04-30	2008-09-29
LEHMAN BROTHERS FUTURES ASIA LIMITED	Rep	期货合约交易	2008-04-30	2008-09-29
LEHMAN BROTHERS ASIA LIMITED	Rep	证券交易	2008-04-18	2008-09-29
LEHMAN BROTHERS SECURITIES ASIA LIMITED	Rep	证券交易	2008-04-18	2008-09-29
DEUTSCHE SECURITIES ASIA LIMITED	Rep	证券交易	2006-06-08	2008-03-19
Citigroup Global Markets Asia Limited	Rep	就机构融资提供意见	2003-04-01	2004-03-01
	Rep	就证券提供意见	2003-04-01	2004-03-01
	Rep	提供资产管理	2003-04-01	2004-03-01
	Rep	提供自动化交易服务	2003-04-01	2004-03-01
	Rep	证券交易	2003-04-01	2006-05-08