Personnel Hong Kong SFC License Details (ID 22034925)

Personnel Hong Kong SFC License Details (ID 22034925)

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) L.L.C.	RO	Advising on futures contracts	2024-06-26	-
	RO	Advising on securities	2024-06-26	-
	RO	Dealing in securities	2024-06-26	-
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	RO	Advising on futures contracts	2024-06-26	-
	RO	Advising on securities	2024-06-26	-
	RO	Providing automated trading services	2024-06-26	-
	RO	Dealing in futures contracts	2024-06-26	-
	RO	Dealing in securities	2024-06-26	-
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Advising on futures contracts	2024-05-22	2024-06-26
	Rep	Advising on securities	2024-05-22	2024-06-26
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Advising on futures contracts	2024-05-22	2024-06-26
	Rep	Advising on securities	2024-05-22	2024-06-26
	Rep	Providing automated trading services	2024-05-22	2024-06-26
	Rep	Dealing in securities	2024-05-22	2024-06-26
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2022-11-15	2024-06-26
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in futures contracts	2022-11-15	2024-06-26