Personnel Hong Kong SFC License Details (ID 93773)

Personnel Hong Kong SFC License Details (ID 93773)

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
SAMSUNG SECURITIES (ASIA) LIMITED	RO	就机构融资提供意见	2012-02-28	2012-07-03
	Rep	就机构融资提供意见	2011-08-08	2012-02-28
	Rep	证券交易	2011-08-08	2012-07-03
Merrill Lynch (Asia Pacific) Limited	Rep	就机构融资提供意见	2009-02-25	2011-06-13
	Rep	就证券提供意见	2009-02-25	2011-06-13
	Rep	证券交易	2009-02-25	2011-06-13
Merrill Lynch Far East Limited	Rep	就机构融资提供意见	2009-02-25	2011-06-13
	Rep	就证券提供意见	2009-02-25	2011-06-13
	Rep	证券交易	2009-02-25	2011-06-13
Merrill Lynch (Asia Pacific) Limited	Rep	就机构融资提供意见	2007-11-01	2008-06-25
	Rep	就证券提供意见	2007-11-01	2008-06-25
	Rep	证券交易	2007-11-01	2008-06-25
Merrill Lynch Far East Limited	Rep	就机构融资提供意见	2007-11-01	2008-06-25
	Rep	就证券提供意见	2007-11-01	2008-06-25
	Rep	证券交易	2007-11-01	2008-06-25