香港持牌證券公司:絡萊環球資本有限公司
| 受規管活動 | 生效日期 | 備註 |
|---|---|---|
| 證券交易 Dealing in Securities | Jan 01 1970 | |
| 就證券提供意見 Advising on Securities | Jan 01 1970 | |
| 提供資產管理 Asset Management | Jan 01 1970 |
| 生效日期 | 牌照條件 |
|---|---|
| 2021年03月03日 | 就第9類受規管活動而言,持牌人只可經營下列業務: n(a)管理委託帳戶;及n(b)管理只向專業投資者作出要約的集體投資計劃。n“集體投資計劃”及“專業投資者”的定義在《證券及期貨條例》及其附屬法例(如適用的話)的條文內界定。 For Type 9 regulated activity, the licensee shall only carry on a business in the management of:n(a) discretionary accounts; andn(b) collective investment schemes that are offered to professional investors only.nThe terms “collective investment scheme” and “professional investor” are defined under the Securities and Futures Ordinance and its subsidiary legislation (where applicable). |
| 2021年03月03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) 證券包銷及配售; 及n(b) 向根據《證券及期貨條例》獲發牌或註冊的中介團體介紹其他人士,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 engage in dealing activities other than - n(a) underwriting and placing of securities; andn(b) introducing persons to an intermediary which is licensed or registered under the Securities and Futures Ordinance, in order that such persons 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 黎鎮剛 LAI Chun Kong | ABZ482 | X | X | X | |||||||
| 吳志凱 NG Chi Hoi | ADA864 | X | X | X |
| 電話號碼 | 傳真號碼 | 電郵地址 | 通訊地址 |
|---|---|---|---|
| 31686511 | 31686510 | [email protected] |