Personnel Hong Kong SFC License Details (ID 2339228)

Personnel Hong Kong SFC License Details (ID 2339228)

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
PIMCO Asia Limited	Rep	Advising on securities	2019-12-20	2026-06-11
	Rep	Dealing in securities	2019-12-20	2026-06-11
	Rep	Asset management	2019-11-27	2026-06-11
Coordinates Capital Management Limited	Rep	Asset management	2018-10-05	2019-10-11
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in futures contracts	2016-10-11	2018-05-24
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2014-10-31	2018-05-24
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2014-10-31	2016-10-10