Personnel Hong Kong SFC License Details (ID 93541)

Personnel Hong Kong SFC License Details (ID 93541)

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
J.P. MORGAN BROKING (HONG KONG) LIMITED	RO	就期货合约提供意见	2013-05-30	2013-08-16
	RO	就证券提供意见	2013-05-30	2013-08-16
	RO	期货合约交易	2013-05-30	2013-08-16
	RO	证券交易	2013-05-30	2013-08-16
J.P. MORGAN SECURITIES (FAR EAST) LIMITED	RO	就证券提供意见	2012-10-25	2013-08-16
	RO	证券交易	2012-10-25	2013-08-16
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	就期货合约提供意见	2012-05-14	2013-05-30
	Rep	期货合约交易	2012-05-14	2013-05-30
J.P. MORGAN SECURITIES (FAR EAST) LIMITED	Rep	就证券提供意见	2012-05-14	2012-10-25
	Rep	证券交易	2012-05-14	2012-10-25
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	就证券提供意见	2012-03-05	2013-05-30
	Rep	证券交易	2012-03-05	2013-05-30
Religare Capital Markets (Hong Kong) Limited	RO	证券交易	2011-03-24	2011-12-01
UBS SECURITIES HONG KONG LIMITED	RO	证券交易	2009-03-10	2010-05-14
	Rep	证券交易	2006-12-14	2009-03-10
UBS SECURITIES ASIA LIMITED	Rep	期货合约交易	2004-08-04	2010-05-14
	Rep	证券交易	2004-08-04	2010-05-14