Personnel Hong Kong SFC License Details (ID 92288)

Personnel Hong Kong SFC License Details (ID 92288)

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
China Galaxy International Securities (Hong Kong) Co., Limited	Rep	就机构融资提供意见	2020-11-23	2021-12-31
China Galaxy International Futures (Hong Kong) Co., Limited	RO	期货合约交易	2012-10-09	2020-09-30
China Galaxy International Securities (Hong Kong) Co., Limited	RO	就证券提供意见	2012-10-09	2021-12-31
	RO	证券交易	2012-10-09	2021-12-31
China Galaxy International Futures (Hong Kong) Co., Limited	Rep	期货合约交易	2012-09-17	2012-10-09
China Galaxy International Securities (Hong Kong) Co., Limited	Rep	就证券提供意见	2012-09-17	2012-10-09
	Rep	证券交易	2012-09-17	2012-10-09
PIPER JAFFRAY ASIA SECURITIES LIMITED	RO	期货合约交易	2012-01-11	2012-09-07
PIPER JAFFRAY ASIA FUTURES LIMITED	RO	期货合约交易	2006-03-29	2012-09-07
PIPER JAFFRAY ASIA SECURITIES LIMITED	RO	就证券提供意见	2006-03-29	2012-09-07
	RO	证券交易	2006-03-29	2012-09-07
PIPER JAFFRAY ASIA FUTURES LIMITED	Rep	期货合约交易	2004-07-08	2006-03-29
PIPER JAFFRAY ASIA SECURITIES LIMITED	Rep	证券交易	2004-07-08	2006-03-29
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	期货合约交易	2003-07-31	2004-07-05
UOB KAY HIAN (HONG KONG) LIMITED	Rep	就机构融资提供意见	-	2003-07-29
	Rep	就证券提供意见	-	2003-07-29
	Rep	证券交易	-	2004-07-05