牌照详情
| 名字： | 元大证券(香港)有限公司
Yuanta Securities (Hong Kong) Company Limited |
| 证监会中央编号： | ABS015 |
| 发牌日期： | 2004年2月16日 |
| 受监管活动 | 生效日期 |
|---|
| 证券交易 | 2004年2月16日 |
| 期货合约交易 | 2012年6月14日 |
| 就证券提供意见 | 2004年2月16日 |
| 就期货合约提供意见 | 2012年6月14日 |
| 就机构融资提供意见 | 2006年7月8日 |
| 提供资产管理 | 2012年6月14日 |
地址
| 营业地址 |
|---|
| Unit B 6/F North Point Industrial Building, 78 Marble Road \u0026 499 King\u0027s Road, North Point, Hong Kong |
| 香港金钟夏慤道18号海富中心1座23楼 |
| 中国深圳广东省深圳市福田中心区国际商会中心福华三路168号1103单元 |
负责人员
| 负责人员名字 | 中央编号 |
|---|
| "CHEN Kun-Yang""陈坤阳" | AVW003 |
| "CHEN Miao-Ju""陈妙如" | ALJ946 |
| "CHEN Ping-Yu""陈品妤" | ANX197 |
| "CHU Ka Kit, Peter""朱家杰" | ACJ314 |
| "HSU Chun-Yuan""许春元" | ASD142 |
| "HUANG Ting-Yu""黄亭瑜" | AQN542 |
| "KUO Che-Jung""郭哲荣" | ALT954 |
| "LACEY Robert William Patrick" | ADR672 |
| "LEE Man Yi, Jessica""李敏儿" | AIU268 |
| "LEI Hsi Wei""雷希伟" | BHB677 |
| "LI Fang""厉放" | AOR995 |
| "PAN Kuei-Ling""潘桂玲" | APC589 |
| "QUEK Chin Hung""郭进汉" | AUX104 |
| "WAN Hung Ha""尹红霞" | AUQ942 |
| "WAN Siu Shun""温绍迅" | AEA214 |
| "WEN Tsung Hsien""温宗宪" | ACZ348 |
| "WU Teh Sen, Raymond""吴德生" | AOL264 |
| "YANG Wu-Kuang""杨武光" | AOV395 |
| "YANG Yi Ting""杨逸庭" | BFX052 |
代表
| 代表名字 | 中央编号 |
|---|
| "CHAN Bing Hang, Johnnie""陈秉恒" | AGG703 |
| "CHAN Chi Wai, Eric""陈志伟" | ACW694 |
| "CHAN Chin Lung, Terry""陈展龙" | ACP724 |
| "CHAN Chor Man""陈楚民" | AMQ583 |
| "CHAN Hwai Chey George" | BPQ259 |
| "CHAN Ka Hung""陈家雄" | ABH274 |
| "CHAN Kwok Kin""陈国健" | BOS587 |
| "CHAN Pauline""陈丽文" | ALA618 |
| "CHAN Wai Chi""陈伟智" | AXG751 |
| "CHANG Huey-Miie" | APK336 |
| "CHANG Sung-Liang""张颂良" | ASD810 |
| "CHAU Kin Man""邹建文" | ACV965 |
| "CHAU Kwok Hung""周国鸿" | AAB494 |
| "CHEN Chu-Fu""陈居甫" | BPY406 |
| "CHEN Kun-Yang""陈坤阳" | AVW003 |
| "CHEN Lu Shuan""陈律諠" | BQM241 |
| "CHEN Yu Shiuan""陈昱瑄" | BKP273 |
| "CHENG Man Yi""郑文怡" | BJC705 |
| "CHEUNG Chun Yin""张俊彦" | BKP484 |
| "CHEUNG Fei Hung""张飞鸿" | BNR251 |
| "CHIU Mei-Chu""邱美珠" | APB221 |
| "CHIU Tuen Leung""赵端良" | ADX075 |
| "CHOI Kwok Ip""蔡国业" | AEU921 |
| "CHOI Tak Fai""蔡德辉" | AXT224 |
| "CHOY Ivan""蔡尚桦" | BQI814 |
| "CHU Hok Man, Herman""朱学敏" | AAK852 |
| "CHUANG Wayne""庄之玮" | ASN774 |
| "FOK Kin Bon""霍建邦" | BIC286 |
| "FONG Hi Man""方喜雯" | BHM953 |
| "FONG Hing""方兴" | BBF237 |
| "FONG Yu""方瑜" | ATS874 |
| "FUNG Ka Po""冯嘉宝" | BIN307 |
| "GAN Tian""甘甜" | BNC404 |
| "HO Kwok Chung""何国仲" | AAB905 |
| "HO Tsu-Hsien""何祖贤" | BAV438 |
| "HOU Ting-Hsuan""侯亭亘" | APB427 |
| "HSIEH Erin""谢依玲" | BCZ934 |
| "HSU Chun-Yuan""许春元" | ASD142 |
| "HSU Fei-Wen""徐斐雯" | ALR717 |
| "HSU Hsiu Ling""许秀玲" | ASH902 |
| "HSU Shih Chen""许士振" | BIE417 |
| "HUANG Chin""黄槿" | BHY493 |
| "HUNG Lap Tung""洪立东" | ANB792 |
| "KE Rongxi""柯荣喜" | BOC316 |
| "KEE Chi Kwan""纪志坤" | ALH987 |
| "KO Tsun Hei""高浚曦" | BQG422 |
| "KUNG Ho Bun""龚可斌" | AUS202 |
| "KUO Che-Jung""郭哲荣" | ALT954 |
| "LAI I-Ting""赖奕婷" | APB414 |
| "LAI Tsun Kit""赖俊杰" | AYJ279 |
| "LAM Wing Yiu""林永耀" | AJG566 |
| "LEE Chia-Hao""李家豪" | BNP707 |
| "LEE Chia-Hua""李嘉华" | APB416 |
| "LEE Huang Hsun""李黄勋" | BHT080 |
| "LEE MANG YUEN""李孟源" | BQL659 |
| "LEE Man Hung""李文雄" | AUV610 |
| "LEE Man Yi, Jessica""李敏儿" | AIU268 |
| "LEE Yao-Jung""李曜容" | BNP708 |
| "LEE Yi-Ching""李宜静" | APR386 |
| "LEE Yin Man""李彦文" | ARB818 |
| "LEUNG Kwan Wai""梁钧惠" | BAN006 |
| "LEUNG Lai Ling""梁丽玲" | BJX874 |
| "LEUNG Suk Fun, Oliva""梁淑芬" | AAB826 |
| "LI Ching Cheung""李正璋" | AXX426 |
| "LI Xuetong""李雪桐" | BNJ561 |
| "LIN Chia-Pei""林佳佩" | APN786 |
| "LIN Shan-Chih""林上智" | BGY428 |
| "LIN Wen-Hui""林文惠" | APH591 |
| "LIN Xiayuan""林夏苑" | BFN094 |
| "LIU Ching Shyang""刘景翔" | BOZ990 |
| "LIU Yu Chieh""刘宇杰" | BRA047 |
| "LO Kit Ming""卢洁明" | ACG022 |
| "LOK Kung Yao, Perry""陆恭耀" | AEF531 |
| "LUK Chiu Kwong""陆照光" | ACX939 |
| "LUNG Shu-Hua""龙淑华" | APB423 |
| "MA Yung-Jie""马咏洁" | BKP540 |
| "MAK Ho Yin, Derek""麦淏琂" | ACE820 |
| "MIAO Shun-Tang""苗舜堂" | ASE264 |
| "MOK Jeanne""莫静芬" | ACE638 |
| "NAM Chun Ho""蓝俊浩" | BOG203 |
| "NG Kwok Hung""吴国雄" | ACL451 |
| "NING Szu Wei""甯思维" | BNE452 |
| "PAN Lichia""潘莉家" | BLM891 |
| "POON Ting""潘婷" | BOA050 |
| "SHI Chun Hei""佘俊熹" | ARM302 |
| "SHIH Wen-Ping""施汶秉" | BPV357 |
| "SO Jiarong""苏家荣" | AJG263 |
| "SU Chu-Ping""苏纯平" | APB419 |
| "SU Shih Yen""苏施燕" | BHY240 |
| "TAM King Fung Keith""谈劲峰" | AJR217 |
| "TANG Chung Kit Adrian""邓松杰" | BOS589 |
| "TANG Tzu Yao""唐子尧" | BPW996 |
| "TOH Swee Yow""杜瑞游" | AAD637 |
| "TSAI Wan Chun""蔡宛君" | BJG465 |
| "TSANG Hin Fai""曾显煇" | BFT903 |
| "TSOI Wai Ling Wendy""蔡炜凌" | BQM236 |
| "TSUN Douglas Patrick" | BMB251 |
| "WANG Po I""王勃翊" | BOR976 |
| "WANG QING""王清" | BQF740 |
| "WANG Shian-tang""王贤棠" | ARG435 |
| "WANG Yun-Ping""王允平" | ALB384 |
| "WOLHARDT Allan Keh""华安伦" | AQJ961 |
| "WONG Cheong Ming""黄昌铭" | BGJ113 |
| "WONG Chi Chung""黄志聪" | AFT846 |
| "WONG Chun Hin""黄俊轩" | BNX137 |
| "WONG Pui Ying""黄珮瑛" | APV517 |
| "WONG Tim Hi""王添喜" | ACN818 |
| "WONG Tung Hing""黄东兴" | BQV987 |
| "WONG Wai Wan""王慧云" | BHD770 |
| "WONG Yiu Man""王耀文" | ASE092 |
| "WU Teh Sen, Raymond""吴德生" | AOL264 |
| "WU Wan-Chi""吴婉琪" | APC272 |
| "WU Yi Ju""吴宜儒" | BEM056 |
| "XIAO Xiaoyu""肖霄雨" | BFA287 |
| "YANG Ching Fang""杨庆芳" | APX137 |
| "YANG Wu-Kuang""杨武光" | AOV395 |
| "YANG Yi Sin""杨依心" | BIZ047 |
| "YAU Kai Yu""丘佳瑜" | BFW828 |
| "YE Si Cen""叶思岑" | BPB512 |
| "YEUNG Kwun Po""杨观宝" | AVW215 |
| "YEUNG Ting Wai""杨锭威" | AUD258 |
| "YEUNG Tsz Ning, Alan""杨子宁" | AEF926 |
| "YIM Ching Wai, Kevin""严政纬" | AMY822 |
| "YUAN Shih-Hsiang""阮世祥" | AOT897 |
| "YUEN Hing Kin""袁兴健" | AFF290 |
| "ZHANG Jie""张杰" | BNL500 |
| "ZHANG Yawen""张亚文" | BQF728 |
投诉主任
牌照条件
| 生效日期 | 牌照条件 |
|---|
| 2012年12月27日 | 就第6类受规管活动而言，持牌人/[该人士]不得就要求将任何证券在认可证券市场上市的申请以保荐人身分行事。 |
| 2014年5月29日 | 就第6类受规管活动而言，持牌人就证监会发出的《公司收购、合併及股份购回守则》範围内的有关事宜/交易，以顾问身分向客户提供意见时，必须与(该客户的) 另一名顾问共同行事，而该另一名顾问须不受此条件的规限。 |
处罚记录
更名记录
| 有效期至 | 名称 |
|---|
| 2015年6月30日 | "Yuanta Securities (Hong Kong) Company Limited""元大宝来证券(香港)有限公司" |
| 2012年5月29日 | "Yuanta Securities (Hong Kong) Company Limited""元大证券(香港)有限公司" |
| 2007年8月6日 | "Yuanta Core Pacific Securities (Hong Kong) Company Limited""元大京华证券(香港)有限公司" |
| 2002年1月4日 | "Core Pacific Securities International Limited""京华证券国际有限公司" |
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