Personnel Hong Kong SFC License Details (ID 2406077)

Personnel Hong Kong SFC License Details (ID 2406077)

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	Dealing in securities	2026-04-02	-
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in futures contracts	2026-04-02	-
	Rep	Dealing in securities	2026-04-02	-
Chicago Trading Company (CTC) Limited	RO	Dealing in futures contracts	2020-04-29	2022-02-28
	RO	Dealing in securities	2020-04-29	2022-02-28
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in futures contracts	2016-10-11	2019-03-30
	Rep	Dealing in securities	2016-10-11	2019-03-30
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2015-04-14	2019-03-30
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in securities	2015-04-14	2016-10-10
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2015-04-14	2016-10-10