Personnel Hong Kong SFC License Details (ID 78505)

Personnel Hong Kong SFC License Details (ID 78505)

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.	RO	Advising on futures contracts	2026-06-22	-
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	RO	Advising on futures contracts	2026-06-22	-
	RO	Dealing in futures contracts	2026-03-11	-
	RO	Providing automated trading services	2023-06-28	-
GOLDMAN SACHS (ASIA) L.L.C.	RO	Dealing in securities	2020-12-18	-
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	RO	Dealing in securities	2020-12-18	-
	Rep	Dealing in securities	2016-10-11	2020-12-18
	Rep	Providing automated trading services	2016-10-11	2023-06-28
	Rep	Dealing in futures contracts	2016-10-11	2026-03-11
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2014-09-22	2020-12-18
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Providing automated trading services	2014-09-22	2016-10-10
	Rep	Dealing in securities	2014-09-22	2016-10-10
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2014-09-22	2016-10-10
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Dealing in securities	2009-03-25	2014-06-12
	Rep	Dealing in securities	2008-02-15	2008-03-15