Personnel Hong Kong SFC License Details (ID 93088)

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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
Almagest AM Co. Limited	RO	就证券提供意见	2025-08-08	2026-09-10
	RO	提供资产管理	2025-08-08	2026-09-10
Funde Securities Limited	RO	证券交易	2022-11-16	2024-09-27
	RO	就证券提供意见	2021-11-03	2024-09-27
Funde Investment Management Limited	RO	提供资产管理	2019-04-25	2024-09-27
Innov Harbor Asset Management Limited	RO	就证券提供意见	2018-10-24	2018-12-07
	RO	提供资产管理	2018-10-24	2018-12-07
Funde Securities Limited	Rep	证券交易	2017-03-31	2022-11-16
Innov Harbor Asset Management Limited	Rep	就证券提供意见	2017-03-31	2018-10-24
	Rep	提供资产管理	2017-03-31	2018-10-24
CHINA INDUSTRIAL SECURITIES INTERNATIONAL BROKERAGE LIMITED	Rep	就证券提供意见	2015-04-08	2017-02-08
	Rep	证券交易	2015-04-08	2017-02-08
CHINA INDUSTRIAL SECURITIES INTERNATIONAL FUTURES LIMITED	Rep	期货合约交易	2015-04-08	2017-02-08
Quam Securities Limited	Rep	提供资产管理	2012-11-09	2015-04-01
	Rep	就证券提供意见	2012-09-06	2015-04-01
	Rep	期货合约交易	2011-04-15	2015-04-01
	Rep	证券交易	2011-04-15	2015-04-01
Nerico Brothers Limited (HK)	Rep	期货合约交易	2009-10-08	2011-04-01
	Rep	证券交易	2009-10-08	2011-04-01
PHILLIP COMMODITIES (HK) LIMITED	Rep	期货合约交易	2007-08-31	2009-10-01
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	证券交易	2007-08-31	2009-10-01
PHILLIP COMMODITIES (HK) LIMITED	Rep	期货合约交易	2007-02-08	2007-06-23
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	证券交易	2007-02-08	2007-06-23

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