Personnel Hong Kong SFC License Details (ID 80645)

Personnel Hong Kong SFC License Details (ID 80645)

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
Guard Capital Management Limited	RO	Asset management	2014-07-07	2017-08-07
GOLDMAN SACHS (ASIA) L.L.C.	RO	Dealing in securities	2011-01-24	2014-01-24
GOLDMAN SACHS FUTURES (ASIA) LIMITED	RO	Dealing in futures contracts	2011-01-24	2014-01-24
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Advising on corporate finance	-	2004-10-14
	Rep	Advising on securities	-	2004-10-14
	Rep	Asset management	-	2004-10-14
	Rep	Dealing in securities	-	2011-01-24
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Advising on futures contracts	-	2004-10-14
	Rep	Asset management	-	2004-10-14
	Rep	Dealing in futures contracts	-	2011-01-24