Personnel Hong Kong SFC License Details (ID 80796)

Personnel Hong Kong SFC License Details (ID 80796)

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
CPP INVESTMENTS ASIA PACIFIC LIMITED	RO	Dealing in securities	2022-01-05	2024-03-08
CPPIB Asia Inc.	RO	Dealing in securities	2019-04-01	2022-01-01
Goldman Sachs Asset Management (Hong Kong) Limited	RO	Advising on securities	2016-06-24	2017-07-15
	RO	Asset management	2016-06-24	2017-07-15
	RO	Dealing in securities	2016-06-24	2017-07-15
GOLDMAN SACHS (ASIA) L.L.C.	RO	Asset management	2014-03-12	2017-04-01
	RO	Dealing in securities	2014-03-12	2017-04-01
	Rep	Asset management	2009-10-23	2014-03-12
	Rep	Dealing in securities	2009-10-23	2014-03-12
CITIC FRONTIER CHINA RESEARCH LIMITED	Rep	Advising on securities	2005-10-27	2006-02-01
	RO	Advising on securities	2005-04-28	2005-10-27
	Rep	Advising on securities	2004-08-02	2005-04-28