Personnel Hong Kong SFC License Details (ID 80734)

Personnel Hong Kong SFC License Details (ID 80734)

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
Carret Private Capital Limited	Rep	Advising on securities	2018-07-06	2020-11-30
	Rep	Asset management	2018-07-06	2020-11-30
	Rep	Dealing in securities	2018-07-06	2020-11-30
Win Harvest Asset Management Limited	Rep	Advising on securities	2017-09-19	2018-04-30
	Rep	Asset management	2017-09-19	2018-04-30
Harmony Advisors Limited	Rep	Dealing in securities	2015-11-04	2016-06-12
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2012-04-24	2015-06-03
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2009-12-08	2015-06-03