Personnel Hong Kong SFC License Details (ID 2076204)

Personnel Hong Kong SFC License Details (ID 2076204)

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
BARCLAYS CAPITAL ASIA LIMITED	Rep	Dealing in futures contracts	2025-10-27	-
	Rep	Dealing in securities	2025-10-27	-
Morgan Stanley Asia Limited	Rep	Advising on corporate finance	2022-06-20	2024-04-23
	Rep	Dealing in securities	2022-06-20	2024-04-23
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Providing automated trading services	2016-10-11	2022-03-23
	Rep	Dealing in futures contracts	2016-10-11	2022-03-23
	Rep	Dealing in securities	2016-10-11	2022-03-23
	Rep	Providing automated trading services	2014-07-08	2016-10-10
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2013-05-29	2022-03-23
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in securities	2013-05-29	2016-10-10
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2013-05-29	2016-10-10