Personnel Hong Kong SFC License Details (ID 75130)

Personnel Hong Kong SFC License Details (ID 75130)

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
Nine Masts Capital Limited	Rep	Asset management	2024-12-19	2026-06-25
Segantii Capital Management Limited	Rep	Asset management	2023-04-26	2024-06-07
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Advising on securities	2022-06-21	2023-01-12
	Rep	Dealing in securities	2017-09-29	2023-01-12
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in futures contracts	2017-09-29	2023-01-12
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2013-08-12	2017-06-12
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2013-08-12	2017-06-12
	Rep	Dealing in securities	2013-08-12	2017-06-12
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2011-06-21	2013-05-09
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2011-06-21	2013-05-09
	Rep	Dealing in securities	2011-06-21	2013-05-09
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in futures contracts	2010-12-06	2011-04-26
Morgan Stanley Asia Limited	Rep	Providing automated trading services	2006-07-10	2009-03-05
	Rep	Advising on futures contracts	2006-07-10	2011-04-26
	Rep	Advising on securities	2006-07-10	2011-04-26
	Rep	Dealing in securities	2006-07-10	2011-04-26
Morgan Stanley Hong Kong Futures Limited	Rep	Providing automated trading services	2006-07-10	2009-03-05
	Rep	Dealing in futures contracts	2006-07-10	2010-12-06