Personnel Hong Kong SFC License Details (ID 73449)

Personnel Hong Kong SFC License Details (ID 73449)

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 SECURITIES LIMITED	Rep	Dealing in securities	2010-08-27	-
ICAP Equities Asia Limited	Rep	Dealing in securities	2009-04-07	2010-04-14
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in securities	2006-07-27	2009-01-22
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2006-07-27	2009-01-22
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Advising on corporate finance	2003-04-01	2004-10-12
	Rep	Advising on securities	2003-04-01	2004-10-12
	Rep	Asset management	2003-04-01	2004-10-12
	Rep	Dealing in securities	2003-04-01	2009-01-22