香港持牌證券公司：雲明有限公司
| 受規管活動 | 生效日期 | 備註 |
|---|---|---|
| 證券交易 Dealing in Securities | Jan 01 1970 | |
| 期貨合約交易 Dealing in Futures Contracts | Jan 01 1970 |
| 生效日期 | 牌照條件 |
|---|---|
| 2019年12月05日 | 就第2類受規管活動而言，持牌人不得經營下列以外的業務－n(a) 從其他人士接收為達成期貨合約交易或期權合約交易而提出的要約，並以該等人士的名義將該等要約傳達予認可交易所或指明交易所的交易所參與者﹔及n(b) 向認可交易所或指明交易所的交易所參與者介紹其他人士，使該等人士可－n (i) 達成期貨合約交易或期權合約交易；或n (ii) 為進行期貨合約交易或期權合約交易而提出要約。 For Type 2 regulated activity, the licensee shall not conduct business other than -n(a) communicating offers to effect dealings in futures contracts or options contracts to an exchange participant of a recognized exchange company or a specified exchange, in the names of the persons from whom those offers are received; andn(b) introducing persons to an exchange participant of a recognized exchange company or a specified exchange, in order that they may -n (i) effect dealings in futures contracts or options contracts; orn (ii) make offers to deal in futures contracts or options contracts. |
| 2019年12月05日 | 就第1類受規管活動而言，持牌人不得經營下列以外的業務－n(a) 從其他人士接收為達成證券交易而提出的要約，並以該等人士的名義將該等要約傳達予認可交易所或指明交易所的交易所參與者﹔及n(b) 向認可交易所或指明交易所的交易所參與者介紹其他人士，使該等人士可－n (i) 達成證券交易；或n (ii) 為進行證券交易而提出要約。 For Type 1 regulated activity, the licensee shall not conduct business other than -n(a) communicating offers to effect dealings in securities to an exchange participant of a recognized exchange company or a specified exchange, in the names of the persons from whom those offers are received; andn(b) introducing persons to an exchange participant of a recognized exchange company or a specified exchange, in order that they may -n (i) effect dealings in securities; orn (ii) make offers to deal in securities. |
| 負責人員名字 | 中央編號 | RA1 | RA2 | RA3 | RA4 | RA5 | RA6 | RA7 | RA8 | RA9 | RA10 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 吳耀文 NG Yiu Man | AGJ090 | X | X | ||||||||
| 黃若鈞 WONG Jeremy | AEA858 | X | X |
| 電話號碼 | 傳真號碼 | 電郵地址 | 通訊地址 |
|---|---|---|---|
| 9021 0934 |