香港證券經紀人田曉平
| 受規管活動 | 生效日期 | 備註 |
|---|---|---|
| 就證券提供意見 Advising on Securities | Mar 03 2022 | |
| 提供資產管理 Asset Management | Mar 03 2022 | |
| 證券交易 Dealing in Securities | Dec 20 2021 |
| 生效日期 | 牌照條件 |
|---|---|
| 2021年12月20日 | 除非持牌人已在下列時間之前按照證監會發出的《勝任能力的指引》的規定，通過了相關的認可本地規管架構考試，並已將其考試成績通知證監會，否則就第1類受規管活動而言，本牌照將於下列時間(以較早出現者為準)失去時效和變成無效：n(i) 當持牌人不再就該項受規管活動為其主事人或代表其主事人行事；或n(ii) 在發出准予從事該項受規管活動的牌照後6個月（或於證監會書面同意的任何較後日期）。 This licence, in relation to Type 1 regulated activity, shall lapse and cease to have effect: n(i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; orn(ii) 6 months after the grant of the licence for carrying on that regulated activity (or any later date as the Commission may agree in writing), nwhichever occurs earlier, unless the licensee has by that time passed the relevant recognised local regulatory framework paper(s) pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result. |
| 2022年03月03日 | 除非持牌人已在下列時間之前按照證監會發出的《勝任能力的指引》的規定，通過了證券及期貨從業員資格考試（資格考試）卷一，並已將其考試成績通知證監會，否則就第9類受規管活動而言，本牌照將於下列時間(以較早出現者為準)失去時效和變成無效：n(i) 當持牌人不再就該項受規管活動為其主事人或代表其主事人行事；或n(ii) 2022年6月20日(或於證監會書面同意的任何較後日期）。n This licence, in relation to Type 9 regulated activity, shall lapse and cease to have effect: n(i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; orn(ii) 20 June 2022 (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the Licensing Examination for Securities and Futures Intermediaries (LE) Paper 1 pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.n |
| 2022年03月03日 | 除非持牌人已在下列時間之前按照證監會發出的《勝任能力的指引》的規定，通過了證券及期貨從業員資格考試（資格考試）卷一，並已將其考試成績通知證監會，否則就第4類受規管活動而言，本牌照將於下列時間(以較早出現者為準)失去時效和變成無效：n(i) 當持牌人不再就該項受規管活動為其主事人或代表其主事人行事；或n(ii) 2022年6月20日或於證監會書面同意的任何較後日期）。n This licence, in relation to Type 4 regulated activity, shall lapse and cease to have effect: n(i) upon the licensee ceasing to act for or on behalf of his/her principal(s) in respect of that regulated activity; orn(ii) 20 June 2022 (or any later date as the Commission may agree in writing), whichever occurs earlier, unless the licensee has by that time passed the Licensing Examination for Securities and Futures Intermediaries (LE) Paper 1 pursuant to the Guidelines on Competence issued by the Commission and informed the Commission of the examination result.n |
| 牌照職能 | 受規管活動 | 有效時期 | 主事人 | 中央編號 |
|---|---|---|---|---|
| 代表 | BIR991 | 2021年11月30日 ~ | 瀚盛資本有限公司 First Prosperous Capital Company Limited | BIR991 |
| 代表 | AOX380 | 2022年03月03日 ~ | 瀚盛資產管理有限公司 First Prosperous Asset Management Company Limited | AOX380 |
| 代表 | AOX380 | 2022年03月03日 ~ | 瀚盛資產管理有限公司 First Prosperous Asset Management Company Limited | AOX380 |