Personnel Hong Kong SFC License Details (ID 129327)

Personnel Hong Kong SFC License Details (ID 129327)

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	Providing automated trading services	2016-10-11	2021-05-12
	Rep	Dealing in futures contracts	2016-10-11	2021-05-12
	Rep	Dealing in securities	2016-10-11	2021-05-12
	Rep	Providing automated trading services	2014-07-08	2016-10-10
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2013-01-21	2021-05-12
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in securities	2013-01-21	2016-10-10
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2013-01-21	2016-10-10
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2010-02-17	2010-03-17
	Rep	Dealing in securities	2010-02-17	2010-03-17
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2010-02-17	2010-03-17