Personnel Hong Kong SFC License Details (ID 41468)

Personnel Hong Kong SFC License Details (ID 41468)

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
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG ASSET MANAGEMENT LIMITED	Rep	Advising on securities	2011-02-02	2012-09-30
	Rep	Asset management	2011-02-02	2012-09-30
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Dealing in securities	2010-08-05	2012-09-30
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2008-01-17	2008-10-25
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2008-01-17	2008-10-25
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2007-02-02	2007-09-19
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2007-02-02	2007-09-19