Personnel Hong Kong SFC License Details (ID 104211)

Personnel Hong Kong SFC License Details (ID 104211)

Key Data SFC Licenses Public Disciplinary Actions

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
GOLDMAN SACHS (ASIA) L.L.C.	RO	Dealing in securities	2006-09-18	2009-01-20
GOLDMAN SACHS FUTURES (ASIA) LIMITED	RO	Advising on futures contracts	2006-09-18	2009-01-20
	RO	Dealing in futures contracts	2006-09-18	2009-01-20
	Rep	Advising on futures contracts	2006-08-22	2006-09-18
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2006-04-01	2006-09-18
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2006-04-01	2006-09-18
GOLDMAN SACHS (ASIA) L.L.C.	RO	Dealing in securities	2005-04-29	2006-04-01
GOLDMAN SACHS FUTURES (ASIA) LIMITED	RO	Dealing in futures contracts	2005-04-29	2006-04-01
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Advising on corporate finance	-	2004-10-12
	Rep	Advising on securities	-	2004-10-12
	Rep	Asset management	-	2004-10-12
	Rep	Dealing in securities	-	2005-04-29
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Advising on futures contracts	-	2004-10-12
	Rep	Asset management	-	2004-10-12
	Rep	Dealing in futures contracts	-	2005-04-29