Personnel Hong Kong SFC License Details (ID 23795835)

Personnel Hong Kong SFC License Details (ID 23795835)

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.	Rep	Advising on securities	2025-01-20	-
	Rep	Dealing in securities	2025-01-20	-
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in futures contracts	2025-01-20	-
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Advising on securities	2023-09-08	2024-11-26
	Rep	Dealing in futures contracts	2021-12-13	2024-11-26
	Rep	Dealing in securities	2021-12-13	2024-11-26
E FUND MANAGEMENT (HONG KONG) CO., LIMITED	Rep	Asset management	2021-07-06	2021-12-07
	Rep	Advising on securities	2021-06-08	2021-12-07
	Rep	Dealing in securities	2021-06-08	2021-12-07
ICBC INTERNATIONAL FUTURES LIMITED	Rep	Dealing in futures contracts	2019-10-16	2021-05-21
ICBC INTERNATIONAL SECURITIES LIMITED	Rep	Advising on securities	2019-10-16	2021-05-21
	Rep	Dealing in securities	2019-10-16	2021-05-21