Personnel SFC Licences and HKMA Registrations (ID 4498021)

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
MILLENNIUM CAPITAL MANAGEMENT (HONG KONG) LIMITED	Rep	Asset management	2025-12-10	-
	Rep	Asset management	2020-06-16	2020-09-11
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2018-10-08	2020-02-22
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in futures contracts	2018-10-08	2020-02-22
	Rep	Dealing in securities	2018-10-08	2020-02-22
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2018-06-15	2018-06-29
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in futures contracts	2018-06-15	2018-06-29
	Rep	Dealing in securities	2018-06-15	2018-06-29
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2018-03-29	2018-04-13
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in futures contracts	2018-03-29	2018-04-13
	Rep	Dealing in securities	2018-03-29	2018-04-13
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2017-12-11	2017-12-22
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in futures contracts	2017-12-11	2017-12-22
	Rep	Dealing in securities	2017-12-11	2017-12-22
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2017-09-18	2017-09-22
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in futures contracts	2017-09-18	2017-09-22
	Rep	Dealing in securities	2017-09-18	2017-09-22
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2017-03-20	2017-04-30
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in futures contracts	2017-03-20	2017-04-30
	Rep	Dealing in securities	2017-03-20	2017-04-30

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.