香港持牌證券公司：聯博香港有限公司
| 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 | |
| 就證券提供意見 Advising on Securities | Jan 01 1970 | |
| 就期貨合約提供意見 Advising on Futures Contracts | Jan 01 1970 | |
| 提供資產管理 Asset Management | Jan 01 1970 |
| 生效日期 | 牌照條件 |
|---|---|
| 2004年11月16日 | 就第1類受規管活動, 持牌人不得從事互惠基金業務以外之零售經紀活動。 For Type 1 regulated activity, the licensee shall not engage in retail brokerage activities other than in respect of mutual funds. |
| 2004年11月16日 | 就第5類受規管活動而言，持牌人不得就有關實物商品的期貨合約提供顧問意見。 For Type 5 regulated activity, the licensee shall not advise on futures contracts relating to physical commodities. |
| 2006年10月05日 | 就第2類受規管活動而言，持牌人不可代客戶買賣有關實物商品的期貨合約。 For Type 2 regulated activity, the licensee shall not deal, on behalf of clients, in futures contracts relating to physical commodities. |
| 負責人員名字 | 中央編號 | RA1 | RA2 | RA3 | RA4 | RA5 | RA6 | RA7 | RA8 | RA9 | RA10 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 鄒建雄 CHOW Kin Hung | AGF156 | X | X | ||||||||
GIBSON Bradley John | BDA538 | X | X | X | X | X | |||||
KAUL Ajai Mohan | AJE920 | X | X | X | X | X | |||||
KIM Robert Duho | BMR539 | X | |||||||||
MOUNIER Arnaud Francois | BFI444 | X | X | ||||||||
QUINN Emma Catherine | AOS451 | X | X | X | X | ||||||
RAE Stuart Campbell | ANT881 | X | X | X | |||||||
WONG David Nicholas | AFF074 | X |
| 代表名字 | 中央編號 | RA1 | RA2 | RA3 | RA4 | RA5 | RA6 | RA7 | RA8 | RA9 | RA10 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 蔡盛 CAI Sheng | BGG939 | X | X | X | |||||||
CHEN Hsing-Yu | BJH672 | X | X | ||||||||
| 陳儀 CHEN Yi | BON686 | X | X | ||||||||
| 程華 CHENG Hua | AXQ586 | X | X | ||||||||
| 鍾詩琪 CHUNG Sze Kie, Daisy | AIG183 | X | X | ||||||||
CHUNG Ying Pan | BSJ241 | X | X | ||||||||
DENG Jingting | BIC489 | X | X | ||||||||
GONDARD Gabriel Robert | AYD279 | X | X | X | |||||||
| 黄慶豐 HUANG Ching-Feng | BJL041 | X | X | X | X | ||||||
| 黃敬雯 HUANG Jingwen | BRX061 | X | X | ||||||||
HULLAH James Edward | BEC495 | X | X | X | X | ||||||
| 鄺紹佳 KWONG Trevor Siu Kai | BRM417 | X | X | ||||||||
| 林曉敏 LAM Hiu Man Vivian | BQB404 | X | X | ||||||||
| 劉凱宇 LAU Hoi Yue, Jeffrey | AOT665 | X | X | ||||||||
| 李凱儀 LI Hoi Yee Connie | BFL337 | X | X | ||||||||
| 李真男 LI Zhennan | BGP970 | X | X | ||||||||
| 林茱 LIN Celina | ABI731 | X | X | ||||||||
LIN John Jen-ho | AGE869 | X | X | X | |||||||
| 林玫芳 LIN Mei-Fang | ANH007 | X | X | X | X | X | |||||
LIU Ninghui | BRP507 | X | X | X | X | X | |||||
| 盧兆榮 LO Shiu Wing, Brian | AYB949 | X | |||||||||
MA Victor Yanqi | BPR485 | X | X | X | X | X | |||||
MOUNIER Arnaud Francois | BFI444 | X | X | ||||||||
| 吳卓峰 NG Cheuk Fung | BHX466 | X | X | ||||||||
| 倪詩敏 NGAI Sze Man | BGH932 | X | X | ||||||||
ODEN John Evans | AOU898 | X | X | ||||||||
| 錢峰 QIAN Feng | ANH323 | X | X | ||||||||
SON Joo Rak | BGK634 | X | X | X | X | X | |||||
| 宋婷婷 SONG Tingting | ART003 | X | X | X | |||||||
TAN Szu-Min Desmond | BHY508 | X | X | ||||||||
| 田建業 TIN Kin Yip, Keynes | AFZ530 | X | X | ||||||||
| 丁煒 TING Wai | BQK284 | X | X | X | X | X | |||||
VIJAYVERGIA Diwakar | BGK418 | X | X | X | X | ||||||
WONG David Nicholas | AFF074 | X | X | ||||||||
| 黃小燕 WONG Siu Yin | BDN280 | X | X | ||||||||
| 黃燦文 WONG Tsan Man, Chapman | AEH756 | X | X | ||||||||
| 黃詠琳 WONG Wing Lam | ARK450 | X | X | ||||||||
| 殷惠玲 YAN Wai Ling | BDJ573 | X | X | ||||||||
| 曾錚 ZENG Zheng | APS177 | X | X | X | X | X | |||||
| 張國嘉 ZHANG Guojia | AFT408 | X | X | ||||||||
| 鄭莉莉 ZHENG Lily | AWJ166 | X | X | ||||||||
| 朱良 ZHU Liang | ASW584 | X |
| 電話號碼 | 傳真號碼 | 電郵地址 | 通訊地址 |
|---|---|---|---|
| 29187885 | 29185249 | [email protected] |
| 有效期至 | 英文名稱 | 中文名稱 |
|---|---|---|
| 2006年05月16日 | New-Alliance Asset Management (Asia) Limited | 新地寶聯資產管理(亞洲)有限公司 |