Personnel Hong Kong SFC License Details (ID 73324)

Personnel Hong Kong SFC License Details (ID 73324)

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	2013-01-21	2013-10-03
	Rep	Asset management	2013-01-21	2013-10-03
CHINA INTERNATIONAL CAPITAL CORPORATION HONG KONG SECURITIES LIMITED	Rep	Advising on securities	2013-01-21	2013-10-03
	Rep	Dealing in securities	2010-01-22	2013-10-03
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2006-06-12	2009-12-17
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2006-06-12	2009-12-17
Morgan Stanley Hong Kong Futures Limited	Rep	Dealing in futures contracts	2004-10-15	2006-05-27
Morgan Stanley Asia Limited	Rep	Dealing in securities	2004-03-29	2006-05-27