Personnel Hong Kong SFC License Details (ID 77395)

Personnel Hong Kong SFC License Details (ID 77395)

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
BOCOM International Securities Limited	Rep	Dealing in futures contracts	2012-01-26	2014-08-16
	Rep	Dealing in securities	2012-01-26	2014-08-16
Credit Suisse (Hong Kong) Limited	Rep	Providing automated trading services	2010-05-04	2011-10-13
	Rep	Dealing in futures contracts	2010-05-04	2011-10-13
	Rep	Dealing in securities	2010-05-04	2011-10-13
Credit Suisse Securities (Hong Kong) Limited	Rep	Dealing in securities	2010-05-04	2011-10-13
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2007-10-10	2008-08-16
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in securities	2007-10-10	2008-08-16
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2007-10-10	2008-08-16