Personnel SFC Licences and HKMA Registrations (ID 1854930)

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	Dealing in securities	2025-04-14	-
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in futures contracts	2025-04-14	-
Credit Suisse (Hong Kong) Limited	Rep	Dealing in futures contracts	2013-10-08	2014-05-31
	Rep	Dealing in securities	2013-10-08	2014-05-31
CITIC Securities Futures (HK) Limited	Rep	Dealing in futures contracts	2013-06-24	2013-09-20
CITIC Securities Brokerage (HK) Limited	Rep	Dealing in securities	2012-02-20	2013-09-20

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

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