Personnel SFC Licences and HKMA Registrations (ID 122230)

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	2023-03-16	-
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in futures contracts	2016-10-11	-
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Asset management	2013-04-08	-
	Rep	Dealing in securities	2013-04-08	-
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2013-04-08	2016-10-10
	Rep	Dealing in futures contracts	2008-01-15	2011-05-28
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2007-07-26	2011-05-28

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.