Personnel Hong Kong SFC License Details (ID 1866727)

Personnel Hong Kong SFC License Details (ID 1866727)

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
MIZUHO SECURITIES ASIA LIMITED	Rep	Asset management	2016-11-21	2021-08-20
	Rep	Dealing in securities	2016-11-21	2021-08-20
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in futures contracts	2016-10-11	2016-10-21
	Rep	Dealing in securities	2016-10-11	2016-10-21
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2015-08-14	2016-10-21
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in securities	2015-08-14	2016-10-10
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2015-08-14	2016-10-10
UBS DERIVATIVES HONG KONG LIMITED	Rep	Dealing in futures contracts	2013-09-18	2015-06-06
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2012-03-19	2015-06-06
	Rep	Dealing in securities	2012-03-19	2015-06-06
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2012-03-19	2015-06-06