Personnel SFC Licences and HKMA Registrations (ID 127962)

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
Jefferies Hong Kong Limited	RO	Dealing in securities	2018-09-06	-
	Rep	Dealing in securities	2018-04-20	2018-09-06
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2012-03-21	2013-03-30
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in securities	2012-03-21	2013-03-30
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2012-03-21	2013-03-30
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2009-05-18	2009-06-18
	Rep	Dealing in securities	2009-05-18	2009-06-18

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.