Personnel Hong Kong SFC License Details (ID 97398)

Personnel Hong Kong SFC License Details (ID 97398)

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
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	期货合约交易	2013-02-08	2024-02-26
UOB KAY HIAN (HONG KONG) LIMITED	Rep	证券交易	2006-06-05	2024-02-26
KINGSTON SECURITIES LIMITED	Rep	证券交易	2006-05-29	2006-05-31
GETTA SECURITIES LIMITED	RO	证券交易	2006-01-17	2006-05-04
	Rep	证券交易	2005-11-10	2006-01-17
SINO-RICH SECURITIES &AMP; FUTURES LIMITED	Rep	证券交易	2005-03-21	2005-11-03
UOB KAY HIAN (HONG KONG) LIMITED	Rep	证券交易	2003-05-30	2005-03-17
SINO-RICH SECURITIES &AMP; FUTURES LIMITED	Rep	就机构融资提供意见	-	2003-05-27
	Rep	就证券提供意见	-	2003-05-27
	Rep	提供资产管理	-	2003-05-27
	Rep	证券交易	-	2003-05-27