Personnel Hong Kong SFC License Details (ID 98868)

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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
QUAM ASSET MANAGEMENT LIMITED	RO	证券交易	2020-02-25	-
Quam Securities Limited	RO	证券交易	2018-11-27	-
QUAM ASSET MANAGEMENT LIMITED	RO	就证券提供意见	2018-08-31	-
	RO	提供资产管理	2018-08-31	-
Quam Securities Limited	Rep	证券交易	2018-08-17	2018-11-27
QUAM ASSET MANAGEMENT LIMITED	Rep	就证券提供意见	2018-06-04	2018-08-31
	Rep	提供资产管理	2018-06-04	2018-08-31
CMBC ASSET MANAGEMENT COMPANY LIMITED	RO	提供资产管理	2017-12-21	2018-04-25
CMBC International Securities Limited	RO	就证券提供意见	2016-11-30	2018-04-25
	RO	证券交易	2016-11-30	2018-04-25
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	RO	证券交易	2012-09-14	2013-11-22
SHENWAN HONGYUAN ASSET MANAGEMENT (ASIA) LIMITED	RO	就证券提供意见	2012-02-03	2013-11-22
	RO	提供资产管理	2012-02-03	2013-11-22
SHENWAN HONGYUAN SECURITIES (H.K.) LIMITED	Rep	证券交易	2012-01-17	2012-09-14
SHENWAN HONGYUAN ASSET MANAGEMENT (ASIA) LIMITED	Rep	就证券提供意见	2011-11-30	2012-02-03
	Rep	提供资产管理	2011-11-30	2012-02-03
Guo Tong Capital Management Company Limited	Rep	就证券提供意见	2010-12-01	2011-10-31
	Rep	提供资产管理	2010-12-01	2011-10-31
GF Asset Management (Hong Kong) Limited	Rep	就证券提供意见	2010-06-29	2010-07-01
	Rep	提供资产管理	2010-06-29	2010-07-01
GIP Partners Limited	RO	就证券提供意见	2009-01-16	2009-12-10
	RO	提供资产管理	2009-01-16	2009-12-10
Bright Fund Management Limited	Rep	提供资产管理	2006-03-23	2007-05-01
	Rep	就证券提供意见	2006-03-21	2007-05-01
	Rep	证券交易	2006-03-21	2007-05-01
Superfund Financial (Hong Kong) Limited	Rep	就证券提供意见	2005-02-18	2006-02-15
	Rep	证券交易	2005-02-18	2006-02-15
Legg Mason Asset Management Hong Kong Limited	Rep	就机构融资提供意见	2003-04-01	2004-08-09
	Rep	提供资产管理	2003-04-01	2004-08-09
	Rep	就证券提供意见	2003-04-01	2004-09-09
LEGG MASON INTERNATIONAL EQUITIES (HONG KONG) LIMITED (TRADING AS ESEMPLIA; ESEMPLIA EMERGING MARKETS)	Rep	就机构融资提供意见	2003-04-01	2004-08-09
	Rep	提供资产管理	2003-04-01	2004-08-09
	Rep	就证券提供意见	2003-04-01	2004-09-09
	Rep	证券交易	2003-04-01	2004-09-09

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