Personnel SFC Licences and HKMA Registrations (ID 104701)

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.	Rep	Advising on securities	2020-11-20	-
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in futures contracts	2016-10-11	-
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Asset management	2012-06-01	-
	Rep	Dealing in securities	2012-06-01	-
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2012-06-01	2016-10-10
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2009-03-02	2010-06-30
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2009-03-02	2010-06-30
	Rep	Dealing in securities	2009-03-02	2010-06-30
CHARLES SCHWAB, HONG KONG, LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-02-17
	Rep	Advising on securities	2003-04-01	2004-02-17
	Rep	Asset management	2003-04-01	2004-02-17
	Rep	Providing automated trading services	2003-04-01	2004-02-17
	Rep	Dealing in securities	2003-04-01	2004-02-17

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.