Personnel Hong Kong SFC License Details (ID 104647)

Personnel Hong Kong SFC License Details (ID 104647)

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
LOMBARD ODIER (HONG KONG) LIMITED	Rep	Advising on securities	2011-03-01	2011-03-15
	Rep	Dealing in securities	2011-03-01	2011-03-15
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2004-05-24	2008-02-28
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2004-05-24	2008-02-28
JEFFERIES BACHE (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2003-12-05	2004-05-21
FT Securities Limited	Rep	Advising on corporate finance	-	2003-10-15
	Rep	Asset management	-	2003-10-15
	Rep	Advising on securities	-	2004-04-27
	Rep	Dealing in securities	-	2004-05-21