Personnel Hong Kong SFC License Details (ID 73290)

Personnel Hong Kong SFC License Details (ID 73290)

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	2013-09-06
	Rep	Asset management	2011-02-02	2013-09-06
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	RO	Dealing in securities	2010-04-19	2013-09-06
	Rep	Dealing in securities	2009-11-27	2010-04-19
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2005-03-11	2009-02-27
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2005-03-11	2009-02-27
FT Securities Limited	Rep	Advising on corporate finance	-	2004-03-13
	Rep	Advising on securities	-	2004-03-13
	Rep	Asset management	-	2004-03-13
	Rep	Dealing in securities	-	2004-03-13
JEFFERIES BACHE (HONG KONG) LIMITED	Rep	Advising on futures contracts	-	2004-03-13
	Rep	Asset management	-	2004-03-13
	Rep	Dealing in futures contracts	-	2004-03-13