Personnel Hong Kong SFC License Details (ID 1912510)

Personnel Hong Kong SFC License Details (ID 1912510)

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
HSBC SECURITIES BROKERS (ASIA) LIMITED	RO	Dealing in securities	2023-11-01	-
	Rep	Dealing in securities	2023-05-10	2023-11-01
Credit Suisse (Hong Kong) Limited	Rep	Dealing in futures contracts	2015-11-19	2023-02-22
	Rep	Dealing in securities	2015-11-19	2023-02-22
Credit Suisse Securities (Hong Kong) Limited	Rep	Dealing in securities	2015-11-19	2023-02-22
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2012-06-18	2015-05-21
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in securities	2012-06-18	2015-05-21
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2012-06-18	2015-05-21