Personnel Hong Kong SFC License Details (ID 1941108)

Personnel Hong Kong SFC License Details (ID 1941108)

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
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Providing automated trading services	2016-10-11	2023-09-19
	Rep	Dealing in futures contracts	2016-10-11	2023-09-19
	Rep	Dealing in securities	2016-10-11	2023-09-19
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2014-08-08	2023-09-19
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Providing automated trading services	2014-08-08	2016-10-10
	Rep	Dealing in securities	2014-08-08	2016-10-10
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2014-08-08	2016-10-10
Citigroup Global Markets Asia Limited	Rep	Providing automated trading services	2013-07-03	2014-06-19
	Rep	Dealing in futures contracts	2013-05-31	2014-06-19
	Rep	Dealing in securities	2012-08-17	2014-06-19
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2012-08-17	2013-08-31
	Rep	Dealing in securities	2012-08-17	2013-08-31