Personnel SFC Licences and HKMA Registrations (ID 2114364)

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
MARSHALL WACE ASIA LIMITED	Rep	Asset management	2018-07-10	-
	Rep	Dealing in securities	2018-07-10	-
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in futures contracts	2016-10-11	2018-05-24
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Asset management	2013-08-09	2018-05-24
	Rep	Dealing in securities	2013-08-09	2018-05-24
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2013-08-09	2016-10-10

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.