Personnel Hong Kong SFC License Details (ID 12850980)

Personnel Hong Kong SFC License Details (ID 12850980)

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
Jefferies Hong Kong Limited	Rep	Dealing in securities	2025-01-06	2025-10-16
HSBC SECURITIES BROKERS (ASIA) LIMITED	Rep	Dealing in securities	2022-08-15	2023-09-28
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Advising on securities	2021-07-16	2021-08-31
	Rep	Dealing in securities	2021-07-16	2021-08-31
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in futures contracts	2021-07-16	2021-08-31
Oppenheimer Investments Asia Limited	Rep	Advising on securities	2018-03-14	2021-06-01
	Rep	Dealing in securities	2018-03-14	2021-06-01