Personnel Hong Kong SFC License Details (ID 80657)

Personnel Hong Kong SFC License Details (ID 80657)

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
BREVAN HOWARD (HONG KONG) LIMITED	RO	Dealing in securities	2014-10-09	2014-10-31
	RO	Asset management	2013-12-06	2014-10-31
	Rep	Asset management	2013-10-15	2013-12-06
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	RO	Dealing in securities	2011-12-12	2013-06-22
	Rep	Dealing in securities	2010-11-17	2011-12-12
GOLDMAN SACHS (ASIA) L.L.C.	RO	Dealing in securities	2009-05-27	2013-06-22
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	RO	Dealing in securities	2009-05-27	2010-11-17
GOLDMAN SACHS FUTURES (ASIA) LIMITED	RO	Dealing in futures contracts	2009-05-27	2013-06-22
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2007-05-11	2009-05-27
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in securities	2007-05-11	2009-05-27
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2007-05-11	2009-05-27