Personnel SFC Licences and HKMA Registrations (ID 80789)

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.	Rep	Advising on securities	2008-07-17	-
	Rep	Dealing in securities	2008-06-30	-
Merrill Lynch (Asia Pacific) Limited	Rep	Asset management	2003-04-01	2005-01-25
	Rep	Advising on corporate finance	2003-04-01	2005-03-23
	Rep	Advising on securities	2003-04-01	2005-03-23
	Rep	Providing automated trading services	2003-04-01	2005-03-23
	Rep	Dealing in securities	2003-04-01	2008-03-28

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

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