Personnel Hong Kong SFC License Details (ID 93345)

Personnel Hong Kong SFC License Details (ID 93345)

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
State Street Securities Hong Kong Limited	RO	期货合约交易	2015-12-02	2016-03-15
	RO	证券交易	2015-12-02	2016-03-15
RBS Asia Futures Limited	Rep	期货合约交易	2011-07-11	2014-03-31
Credit Suisse (Hong Kong) Limited	Rep	提供自动化交易服务	2008-11-07	2010-05-04
	Rep	期货合约交易	2008-11-07	2010-05-04
	Rep	证券交易	2008-07-29	2010-05-04
Credit Suisse Futures (Hong Kong) Limited	Rep	提供自动化交易服务	2008-07-29	2008-11-24
	Rep	期货合约交易	2008-07-29	2008-11-24
Credit Suisse Securities (Hong Kong) Limited	Rep	证券交易	2008-07-29	2010-05-04
LEHMAN BROTHERS ASIA LIMITED	RO	期货合约交易	2006-04-20	2008-05-21
LEHMAN BROTHERS FUTURES ASIA LIMITED	RO	期货合约交易	2006-04-20	2008-05-21
LEHMAN BROTHERS ASIA LIMITED	Rep	期货合约交易	2004-08-06	2006-04-20
	Rep	证券交易	2004-08-06	2008-05-21
LEHMAN BROTHERS FUTURES ASIA LIMITED	Rep	期货合约交易	2004-08-06	2006-04-20
LEHMAN BROTHERS SECURITIES ASIA LIMITED	Rep	证券交易	2004-08-06	2008-05-21