Personnel Hong Kong SFC License Details (ID 107565)

Personnel Hong Kong SFC License Details (ID 107565)

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
ICBC INTERNATIONAL FUND MANAGEMENT LIMITED	RO	Advising on securities	2025-05-20	-
	RO	Asset management	2025-05-20	-
	RO	Dealing in securities	2025-05-20	-
ICBC INTERNATIONAL RESEARCH LIMITED	RO	Advising on securities	2019-02-19	2024-05-02
ICBC INTERNATIONAL FUTURES LIMITED	RO	Dealing in futures contracts	2018-09-18	-
ICBC INTERNATIONAL SECURITIES LIMITED	RO	Advising on securities	2018-09-18	-
	RO	Dealing in securities	2018-09-18	-
	RO	Dealing in futures contracts	2018-09-18	2019-08-14
ICBC INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2018-05-11	2018-09-18
ICBC INTERNATIONAL SECURITIES LIMITED	Rep	Advising on securities	2018-05-11	2018-09-18
	Rep	Dealing in futures contracts	2018-05-11	2018-09-18
	Rep	Dealing in securities	2018-05-11	2018-09-18
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Advising on corporate finance	2003-04-01	2004-10-13
	Rep	Advising on securities	2003-04-01	2004-10-13
	Rep	Asset management	2003-04-01	2004-10-13
	Rep	Dealing in securities	2003-04-01	2010-03-05