Personnel Hong Kong SFC License Details (ID 80670)

Personnel Hong Kong SFC License Details (ID 80670)

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) SECURITIES LIMITED	RO	Advising on securities	2016-10-11	2017-09-01
	RO	Dealing in futures contracts	2016-10-11	2017-09-01
	RO	Dealing in securities	2016-10-11	2017-09-01
	RO	Providing automated trading services	2013-07-11	2014-10-10
	RO	Advising on securities	2011-08-25	2016-10-10
	RO	Dealing in securities	2011-08-25	2016-10-10
GOLDMAN SACHS FUTURES (ASIA) LIMITED	RO	Dealing in futures contracts	2011-08-25	2016-10-10
GOLDMAN SACHS (ASIA) L.L.C.	RO	Providing automated trading services	2010-01-06	2014-10-10
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2007-08-21	2011-08-25
GOLDMAN SACHS (ASIA) L.L.C.	RO	Dealing in securities	2004-09-16	2017-09-01
	Rep	Advising on corporate finance	-	2004-09-16
	Rep	Advising on securities	-	2004-09-16
	Rep	Asset management	-	2004-09-16
	Rep	Dealing in securities	-	2004-09-16