Personnel Hong Kong SFC License Details (ID 94306)

Personnel Hong Kong SFC License Details (ID 94306)

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
RBC GLOBAL ASSET MANAGEMENT (ASIA) LIMITED	Rep	就证券提供意见	2016-05-30	2017-08-01
	Rep	证券交易	2016-05-30	2017-08-01
RBC INVESTMENT SERVICES (ASIA) LIMITED	Rep	就期货合约提供意见	2016-05-30	2017-10-31
	Rep	就证券提供意见	2016-05-30	2017-10-31
	Rep	期货合约交易	2016-05-30	2017-10-31
	Rep	证券交易	2016-05-30	2017-10-31
CES Commodities (HK) Limited	Rep	期货合约交易	2013-09-16	2014-12-13
Everbright Securities Digital Finance (HK) Limited	Rep	证券交易	2013-09-16	2014-12-13
Everbright Securities Investment Services (HK) Limited	Rep	证券交易	2013-09-16	2014-12-13
SHENWAN HONGYUAN RESEARCH (H.K.) LIMITED	Rep	就证券提供意见	2008-02-28	2013-07-05
SHENWAN HONGYUAN FUTURES (H.K.) LIMITED	Rep	期货合约交易	2007-10-31	2013-08-23
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	证券交易	2007-10-31	2013-08-23
PHILLIP COMMODITIES (HK) LIMITED	Rep	期货合约交易	2006-09-28	2007-10-19
PHILLIP SECURITIES (HONG KONG) LIMITED	Rep	证券交易	2006-09-28	2007-10-19