Personnel Hong Kong SFC License Details (ID 80639)

Personnel Hong Kong SFC License Details (ID 80639)

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
Harmony Advisors Limited	RO	Advising on securities	2018-01-09	-
	RO	Dealing in futures contracts	2018-01-09	-
	RO	Asset management	2016-06-06	-
	RO	Dealing in securities	2016-06-06	-
VTB Capital Hong Kong Limited	RO	Dealing in securities	2014-01-08	2014-06-03
	Rep	Dealing in securities	2013-11-08	2014-01-08
GOLDMAN SACHS (ASIA) L.L.C.	RO	Advising on futures contracts	2011-05-20	2013-02-28
GOLDMAN SACHS FUTURES (ASIA) LIMITED	RO	Advising on futures contracts	2011-05-20	2013-02-28
GOLDMAN SACHS (ASIA) L.L.C.	RO	Dealing in securities	2009-05-14	2013-02-28
GOLDMAN SACHS FUTURES (ASIA) LIMITED	RO	Dealing in futures contracts	2009-05-14	2013-02-28
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2009-03-09	2009-05-14
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2009-03-09	2009-05-14