Kim, So Yeon

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
DWS Investments Hong Kong Limited	RO	Advising on securities	2019-10-23	-
	RO	Dealing in securities	2019-10-23	-
	Rep	Advising on securities	2017-03-31	2019-10-23
	Rep	Dealing in securities	2017-03-31	2019-10-23
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Advising on securities	2012-06-14	2013-02-01
	Rep	Dealing in securities	2010-03-01	2013-02-01
	Rep	Dealing in securities	2009-06-23	2010-01-30
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2005-09-23	2008-03-20

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.

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
DWS Investments Hong Kong Limited	RO	Advising on securities	2019-10-23	-
	RO	Dealing in securities	2019-10-23	-
	Rep	Advising on securities	2017-03-31	2019-10-23
	Rep	Dealing in securities	2017-03-31	2019-10-23
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Advising on securities	2012-06-14	2013-02-01
	Rep	Dealing in securities	2010-03-01	2013-02-01
	Rep	Dealing in securities	2009-06-23	2010-01-30
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2005-09-23	2008-03-20

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.