Personnel Hong Kong SFC License Details (ID 49160)

Personnel Hong Kong SFC License Details (ID 49160)

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 Asset Management (Hong Kong) Limited	RO	Advising on securities	2025-07-08	-
	RO	Dealing in securities	2025-07-08	-
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	RO	Dealing in futures contracts	2017-12-13	-
GOLDMAN SACHS (ASIA) L.L.C.	RO	Advising on securities	2011-08-10	-
	RO	Asset management	2011-08-10	-
	RO	Dealing in securities	2011-08-10	-
	RO	Advising on corporate finance	2004-10-14	2011-08-10
	Rep	Advising on securities	2003-04-01	2004-08-17
	Rep	Asset management	2003-04-01	2004-08-17
	Rep	Dealing in securities	2003-04-01	2004-08-17
	Rep	Advising on corporate finance	2003-04-01	2004-10-14