Personnel Hong Kong SFC License Details (ID 96636)

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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
UBS DERIVATIVES HONG KONG LIMITED	RO	期货合约交易	2010-10-27	2014-04-10
UBS SECURITIES ASIA LIMITED	RO	证券交易	2010-10-27	2014-04-10
UBS SECURITIES HONG KONG LIMITED	RO	证券交易	2010-10-27	2014-04-10
UBS DERIVATIVES HONG KONG LIMITED	Rep	期货合约交易	2010-07-06	2010-10-27
UBS SECURITIES ASIA LIMITED	Rep	证券交易	2010-07-06	2010-10-27
	Rep	期货合约交易	2010-07-06	2014-04-10
UBS SECURITIES HONG KONG LIMITED	Rep	证券交易	2010-07-06	2010-10-27
NOMURA SECURITIES (HONG KONG) LIMITED	Rep	期货合约交易	2010-02-04	2010-03-30
Nomura Asia Investment (Hong Kong) Limited	Rep	期货合约交易	2008-11-28	2010-02-19
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	期货合约交易	2008-10-09	2010-03-30
	Rep	证券交易	2008-10-09	2010-03-30
LEHMAN BROTHERS ASIA LIMITED	Rep	证券交易	2006-11-27	2008-09-29
LEHMAN BROTHERS SECURITIES ASIA LIMITED	Rep	证券交易	2006-11-27	2008-09-29
LEHMAN BROTHERS ASIA LIMITED	RO	证券交易	2006-04-28	2006-11-27
LEHMAN BROTHERS SECURITIES ASIA LIMITED	RO	证券交易	2006-04-28	2006-11-27
LEHMAN BROTHERS ASIA LIMITED	RO	期货合约交易	2005-04-27	2008-09-29
LEHMAN BROTHERS FUTURES ASIA LIMITED	RO	期货合约交易	2005-04-27	2008-09-29
LEHMAN BROTHERS ASIA LIMITED	Rep	提供自动化交易服务	2003-06-03	2003-09-19
LEHMAN BROTHERS FUTURES ASIA LIMITED	Rep	提供自动化交易服务	2003-06-03	2003-09-08
LEHMAN BROTHERS SECURITIES ASIA LIMITED	Rep	提供自动化交易服务	2003-06-03	2003-09-04
LEHMAN BROTHERS ASIA LIMITED	Rep	期货合约交易	2003-04-24	2005-04-27
	Rep	证券交易	2003-04-24	2006-04-28
LEHMAN BROTHERS FUTURES ASIA LIMITED	Rep	期货合约交易	2003-04-24	2005-04-27
LEHMAN BROTHERS SECURITIES ASIA LIMITED	Rep	证券交易	2003-04-24	2006-04-28

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