Webb-site Legacy

Home

GOLDMAN SACHS (ASIA) SECURITIES LIMITED 高盛(亞洲)證券有限公司

SFC Licensed
SFC ID:BHX981
CCASS ID:B01451
Key DataOfficersSFC LicensesConditionsPublic Disciplinary ActionsCCASS Distribution
Hong Kong IPO PredictionsHong Kong Financial ReportsLegal Document SearchFAQ
© 2024 Webb-site Legacy. All rights reserved.|
Copyright & DisclaimerPrivacy PolicyAbout

SFC licences & institution history

2016.10.11Institutions amalgamated

After amalgamation

Currently licensed
SFC ID:BHX981

Goldman Sachs (Asia) Securities Limited

1 former names

  1. Goldman Sachs (Asia) Limited

    Earlier period—1994.12.29

    SFC name change: 1994.12.29

    No SFO licence period listed under this name

  2. Goldman Sachs (Asia) Securities Limited

    1994.12.29—Registered name

    Licences in this name periodTYPE 1TYPE 2TYPE 4TYPE 5TYPE 7
Licences of Goldman Sachs (Asia) Securities Limited (BHX981)
Regulated ActivityEffective periods
TYPE 1Dealing in securities
  • 2016.10.11—Present
TYPE 2Dealing in futures contracts
  • 2016.10.11—Present
TYPE 4Advising on securities
  • 2016.10.11—Present
TYPE 5Advising on futures contracts
  • 2016.10.11—Present
TYPE 7Providing automated trading services
  • 2016.10.11—Present

Before amalgamation

Historical institution
SFC ID:AAA849

Goldman Sachs (Asia) Securities Limited

2 former names

  1. Goldman Sachs (Asia) Limtied

    Earlier period—1990.09.10

    SFC name change: 1990.09.10

    No SFO licence period listed under this name

  2. Goldman Sachs (Asia) Limited

    1990.09.10—1995.01.31

    SFC name change: 1995.01.31

    No SFO licence period listed under this name

  3. Goldman Sachs (Asia) Securities Limited

    1995.01.31—Registered name

    Licences in this name periodTYPE 1TYPE 4TYPE 6TYPE 7TYPE 9
Licences of Goldman Sachs (Asia) Securities Limited (AAA849)
Regulated ActivityEffective periods
TYPE 1Dealing in securities
  • 2003.04.01—2016.10.10
TYPE 4Advising on securities
  • 2003.04.01—2016.10.10
TYPE 6Advising on corporate finance
  • 2003.04.01—2011.08.26
TYPE 7Providing automated trading services
  • 2013.07.11—2016.10.10
TYPE 9Asset management
  • 2003.04.01—2005.01.27
Historical institution
SFC ID:ABW343

Goldman Sachs Futures (Asia) Limited

1 former names

  1. J. Aron & Company (Asia) Limited

    Earlier period—1994.11.15

    SFC name change: 1994.11.15

    No SFO licence period listed under this name

  2. Goldman Sachs Futures (Asia) Limited

    1994.11.15—Registered name

    Licences in this name periodTYPE 2TYPE 5TYPE 9
Licences of Goldman Sachs Futures (Asia) Limited (ABW343)
Regulated ActivityEffective periods
TYPE 2Dealing in futures contracts
  • 2003.04.01—2016.10.10
TYPE 5Advising on futures contracts
  • 2003.04.01—2016.10.10
TYPE 9Asset management
  • 2003.04.01—2005.01.27