Personnel SFC Licences and HKMA Registrations (ID 93167)

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
CCB Securities Limited	RO	证券交易	2025-10-08	-
BOCOM International Securities Limited	RO	就证券提供意见	2024-08-14	2025-05-16
	Rep	就证券提供意见	2021-03-30	2024-08-14
	RO	就期货合约提供意见	2021-03-30	2025-05-16
	RO	期货合约交易	2021-03-30	2025-05-16
	RO	证券交易	2021-03-30	2025-05-16
	Rep	就期货合约提供意见	2021-03-04	2021-03-30
	Rep	期货合约交易	2021-03-04	2021-03-30
	Rep	证券交易	2021-03-04	2021-03-30
VALUABLE CAPITAL LIMITED	Rep	就期货合约提供意见	2021-01-20	2021-01-31
	Rep	期货合约交易	2021-01-20	2021-01-31
	Rep	证券交易	2021-01-20	2021-01-31
Soochow Securities International Brokerage Limited	RO	证券交易	2019-09-03	2020-11-15
Soochow Securities International Futures Limited	RO	就期货合约提供意见	2019-09-03	2020-11-15
	RO	期货合约交易	2019-09-03	2020-11-15
Soochow Securities International Brokerage Limited	Rep	证券交易	2019-06-10	2019-09-03
Soochow Securities International Futures Limited	Rep	期货合约交易	2019-06-10	2019-09-03
ZHONGTAI INTERNATIONAL FUTURES LIMITED	Rep	期货合约交易	2013-04-12	2019-06-02
ZHONGTAI INTERNATIONAL SECURITIES LIMITED	Rep	证券交易	2013-04-12	2019-06-02
RBC GLOBAL ASSET MANAGEMENT (ASIA) LIMITED	Rep	证券交易	2011-08-10	2013-04-06
BOCI SECURITIES LIMITED	Rep	杠杆式外汇交易	2011-04-21	2011-07-29
	Rep	期货合约交易	2007-05-31	2011-07-29
	Rep	证券交易	2007-05-31	2011-07-29
CINDA INTERNATIONAL INVESTMENT MANAGEMENT LIMITED	Rep	杠杆式外汇交易	2006-01-24	2007-05-26
CINDA INTERNATIONAL FUTURES LIMITED	Rep	期货合约交易	2005-10-14	2007-05-26
CINDA INTERNATIONAL SECURITIES LIMITED	Rep	证券交易	2005-10-14	2007-05-26

金管局登记

金管局有关人士登记与证监会牌照独立展示。EO 表示主管人员。

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已采集记录中暂无金管局登记。