Personnel Hong Kong SFC License Details (ID 109324)

Personnel Hong Kong SFC License Details (ID 109324)

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) SECURITIES LIMITED	Rep	Dealing in futures contracts	2016-10-11	2019-08-03
	Rep	Dealing in securities	2016-10-11	2019-08-03
	Rep	Dealing in securities	2015-11-27	2016-10-10
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2015-07-06	2019-08-03
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2015-07-06	2016-10-10
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in futures contracts	2010-12-06	2011-05-24
Morgan Stanley Asia Limited	Rep	Dealing in securities	2010-03-29	2011-05-24
Morgan Stanley Hong Kong Futures Limited	Rep	Dealing in futures contracts	2010-03-29	2010-12-06
Morgan Stanley Asia Limited	Rep	Dealing in securities	2009-09-25	2009-10-02
Morgan Stanley Hong Kong Futures Limited	Rep	Dealing in futures contracts	2009-09-25	2009-10-02
Morgan Stanley Asia Limited	Rep	Dealing in securities	2007-11-26	2007-12-03