Personnel SFC Licences and HKMA Registrations (ID 6717580)

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	2026-07-27	-
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Providing automated trading services	2026-07-27	-
	Rep	Dealing in futures contracts	2026-07-27	-
	Rep	Dealing in securities	2026-07-27	-
BARCLAYS CAPITAL ASIA LIMITED	Rep	Dealing in futures contracts	2023-09-05	2026-06-05
	Rep	Dealing in securities	2023-09-05	2026-06-05
Liquidnet Asia Limited	Rep	Providing automated trading services	2017-03-31	2023-07-02
	Rep	Dealing in securities	2017-03-31	2023-07-02

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.