Personnel Hong Kong SFC License Details (ID 114672)

Personnel Hong Kong SFC License Details (ID 114672)

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
HSBC BROKING FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2026-08-11	-
Pharo Management (HK) Limited	Rep	Asset management	2024-01-26	2025-11-25
PrideRock Global Investment Management Limited	RO	Advising on securities	2020-04-29	2023-11-30
	RO	Asset management	2020-04-29	2023-11-30
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in futures contracts	2016-10-11	2017-01-20
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2013-05-31	2017-01-20
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2013-05-31	2016-10-10
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2013-03-25	2013-04-01
Morgan Stanley Asia Limited	Rep	Providing automated trading services	2010-03-10	2010-09-22
Morgan Stanley Hong Kong Futures Limited	Rep	Providing automated trading services	2010-03-10	2010-09-22
	Rep	Dealing in futures contracts	2006-01-25	2010-09-22
Morgan Stanley Asia Limited	Rep	Advising on securities	2005-03-15	2006-01-23
	Rep	Dealing in securities	2004-11-19	2010-09-22