Personnel Hong Kong SFC License Details (ID 77946)

Personnel Hong Kong SFC License Details (ID 77946)

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
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Advising on securities	2024-12-27	-
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in futures contracts	2016-10-11	-
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Asset management	2015-10-07	-
	Rep	Dealing in securities	2015-10-07	-
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2015-10-07	2016-10-10
Manulife Investment Management (Hong Kong) Limited	Rep	Advising on futures contracts	2015-06-11	2015-09-18
	Rep	Advising on securities	2015-06-11	2015-09-18
	Rep	Asset management	2015-06-11	2015-09-18
	Rep	Dealing in futures contracts	2015-06-11	2015-09-18
	Rep	Dealing in securities	2015-03-19	2015-09-18
Daiwa Capital Markets Hong Kong Limited	Rep	Dealing in futures contracts	2011-05-24	2014-11-01
	Rep	Dealing in securities	2011-05-24	2014-11-01