Personnel Hong Kong SFC License Details (ID 97478)

Personnel Hong Kong SFC License Details (ID 97478)

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 (HONG KONG) LIMITED	Rep	证券交易	2005-09-12	2022-12-02
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	期货合约交易	2005-09-12	2022-12-02
GET NICE FUTURES COMPANY LIMITED	Rep	期货合约交易	2005-06-01	2005-09-02
GET NICE SECURITIES LIMITED	Rep	证券交易	2005-06-01	2005-09-02
GREAT BAY SECURITIES LIMITED	RO	证券交易	2005-05-09	2005-05-31
PACIFIC CHALLENGE FUTURES HONG KONG LIMITED	RO	期货合约交易	2005-05-09	2005-05-31
GREAT BAY SECURITIES LIMITED	Rep	证券交易	2004-10-25	2005-05-09
PACIFIC CHALLENGE FUTURES HONG KONG LIMITED	Rep	期货合约交易	2004-10-25	2005-05-09
RPS INVESTMENT LIMITED	Rep	证券交易	2004-05-15	2004-10-20
SUN'S FUTURE LIMITED	Rep	期货合约交易	2004-05-15	2004-10-20
DELTA ASIA FINANCIAL FUTURES LIMITED	Rep	期货合约交易	2004-02-17	2004-04-13
DELTA ASIA SECURITIES LIMITED	Rep	证券交易	2004-02-17	2004-04-13
UOB KAY HIAN (HONG KONG) LIMITED	Rep	证券交易	2003-05-26	2004-02-05
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	Rep	期货合约交易	2003-05-26	2004-02-05
UOB KAY HIAN (HONG KONG) LIMITED	RO	就机构融资提供意见	-	2003-05-26
	RO	就证券提供意见	-	2003-05-26
	RO	证券交易	-	2003-05-26
UOB KAY HIAN FUTURES (HONG KONG) LIMITED	RO	期货合约交易	-	2003-05-26