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  1. apps.hkma.gov.hk › eng › indexRegister of Securities Staff of AIs - Hong Kong dollar

    3 天前 · Search by HKMA registration number. Search by name of Registered Institution. (only show current relevant individuals) Current Relevant Individuals. Current and Former Relevant Individuals. Registration details in relation to registered institutions are contained in the SFC public register of licensed persons and registered institutions.

  2. apps.hkma.gov.hk › chi › index香港金融管理局 - 認可機構證券業務員工紀錄冊 – 搜尋

    認可機構證券業務員工紀錄冊. 最後更新日期 2024年11月04日. 按姓名搜尋. 按金管局的註冊號碼搜尋. 按註冊機構名稱搜尋. (只顯示現任有關人士) 現任有關人士. 前任及現任有關人士. 有關註冊機構的註冊資料載於證監會備存的 持牌人及註冊機構的公眾紀錄冊。.

  3. apps.hkma.gov.hk › eng › indexHong Kong Monetary Authority - Register of Securities Staff ...

    The Register of Securities Staff of AIs is a database of current and former relevant individuals, i.e. current and former staff of authorized institutions engaging in securities business and/or other regulated activities, as defined under the Securities and Futures Ordinance, in Hong Kong (See "Supervisory Policy Manual SB-1 Supervision of ...

  4. apps.hkma.gov.hk › chi › index香港金融管理局 - 認可機構證券業務員工紀錄冊

    認可機構證券業務員工紀錄冊. 認可機構證券業務員工紀錄冊載有現任及前任有關人士的資料，即在香港從事證券業務及／或《證券及期貨條例》所界定的其他受規管活動的認可機構現任及前任僱員 (詳見 《監管政策手冊》SB-1「對獲得證監會註冊的認可機構進行 ...

  5. apps.hkma.gov.hk › eng › indexRegister of Securities Staff of AIs - Hong Kong dollar

    2024年11月1日 · Business Address. Conditions. Registration History. Public Disciplinary Actions. Records of public disciplinary actions taken against the relevant individual by the SFC. Records of public disciplinary actions taken against the relevant individual by the HKMA. Public disciplinary actions (if any) that took effect over five years ago are not shown.

  6. apps.hkma.gov.hk › eng › indexHong Kong Monetary Authority - Register of Securities Staff ...

    Quick Links. Data & Statistics Publications Research Legislative Council Issues Registers Authorization, Licensing, Designation and Approval Regulatory Guides.

  7. apps.hkma.gov.hk › eng › indexHong Kong Monetary Authority – Register of Securities ...

    2024年11月1日 · Authorization, Licensing, Designation and Approval Regulatory Guides By Subject (Current) Supervisory Policy Manual Guidelines Circulars Guide to Authorization Code of Practice Explanatory Note Practice Note Additional Guidance