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山西證券(002500.SZ):控股子公司有關業務牌照變更
格隆匯 11-20 20:10

格隆匯 11 月 20日丨山西證券(002500.SZ)公佈,近日,公司控股子公司山證國際資產管理有限公司及山證國際融資有限公司收到香港證券及期貨事務監察委員會(SFC)頒發的變更後的業務牌照。

山證國際資產管理有限公司變更後的牌照涉及的受規管活動類型為:第4類:就證券提供意見;第5類:就期貨合約提供意見;第9類:提供資產管理。變更後的業務牌照,不再有條件限制。

山證國際融資有限公司變更後的牌照涉及的受規管活動類型為:第6類:就機構融資提供意見。其中,持牌人不得持有客户資產。變更後的業務牌照,不再有“就第6類受規管活動而言,持牌人不得就證監會發出的《公司收購、合併及股份回購守則》範圍內的事宜/交易向客户提供意見”的限制。

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