Personnel Hong Kong SFC License Details (ID 80650)

Personnel Hong Kong SFC License Details (ID 80650)

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 securities	2017-03-22	2022-10-04
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	RO	Advising on futures contracts	2016-10-11	2022-10-04
	RO	Dealing in futures contracts	2016-10-11	2022-10-04
	RO	Dealing in securities	2016-10-11	2022-10-04
	RO	Dealing in securities	2012-07-03	2016-10-10
GOLDMAN SACHS (ASIA) L.L.C.	RO	Advising on futures contracts	2011-07-14	2022-10-04
	RO	Dealing in securities	2008-02-11	2022-10-04
GOLDMAN SACHS FUTURES (ASIA) LIMITED	RO	Advising on futures contracts	2008-02-11	2016-10-10
	RO	Dealing in futures contracts	2008-02-11	2016-10-10
	Rep	Dealing in futures contracts	2004-08-27	2008-02-11
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Advising on corporate finance	-	2004-08-27
	Rep	Advising on securities	-	2004-08-27
	Rep	Asset management	-	2004-08-27
	Rep	Dealing in securities	-	2008-02-11