Personnel SFC Licences and HKMA Registrations (ID 131480)

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
First Sentier Investors (Hong Kong) Limited	RO	Advising on securities	2022-06-20	-
	RO	Asset management	2022-06-20	-
	RO	Dealing in securities	2022-06-20	-
	Rep	Advising on securities	2021-08-17	2022-06-20
	Rep	Asset management	2021-08-04	2022-06-20
	Rep	Dealing in securities	2021-08-04	2022-06-20
Goldman Sachs Asset Management (Hong Kong) Limited	Rep	Asset management	2019-05-30	2021-06-10
	Rep	Dealing in securities	2019-05-30	2021-06-10
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Asset management	2017-08-17	2019-08-14
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in futures contracts	2016-10-11	2019-08-14
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2016-07-20	2019-08-14
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2016-07-20	2016-10-10
Moody's Investors Service Hong Kong Limited	Rep	Providing credit rating services	2011-09-08	2015-06-06

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.