Personnel SFC Licences and HKMA Registrations (ID 80641)

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 Asset Management (Hong Kong) Limited	Rep	Advising on securities	2022-11-29	-
	Rep	Asset management	2022-11-29	-
	Rep	Dealing in securities	2022-11-29	-
	RO	Advising on securities	2016-09-07	2022-11-29
	RO	Asset management	2016-09-07	2022-11-29
	RO	Dealing in securities	2016-09-07	2022-11-29
GOLDMAN SACHS (ASIA) L.L.C.	RO	Asset management	2011-08-25	2017-04-01
	RO	Dealing in securities	2011-08-25	2017-04-01
	Rep	Asset management	2010-12-16	2011-08-25
	Rep	Dealing in securities	2010-12-16	2011-08-25
CLSA LIMITED	Rep	Advising on securities	2005-09-28	2006-06-30
CLSA RESEARCH LIMITED	Rep	Advising on securities	2004-07-02	2005-09-28
LEHMAN BROTHERS ASIA LIMITED	Rep	Advising on corporate finance	2003-04-01	2003-08-09
	Rep	Asset management	2003-04-01	2003-08-09
	Rep	Advising on securities	2003-04-01	2003-11-17

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.