Personnel Hong Kong SFC License Details (ID 1864643)

Personnel Hong Kong SFC License Details (ID 1864643)

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
Legend Arb Advisors Limited	Rep	Advising on futures contracts	2023-10-26	2024-06-30
	Rep	Advising on securities	2023-10-26	2024-06-30
	Rep	Asset management	2023-10-26	2024-06-30
	RO	Advising on futures contracts	2019-07-19	2023-10-26
	RO	Advising on securities	2019-07-19	2023-10-26
	RO	Asset management	2017-08-29	2023-10-26
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in futures contracts	2016-10-11	2016-12-31
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Asset management	2014-08-29	2016-12-31
	Rep	Dealing in securities	2014-07-10	2016-12-31
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2014-07-10	2016-10-10
True Partner Advisor Hong Kong Limited	Rep	Asset management	2012-03-13	2014-06-25