Personnel Hong Kong SFC License Details (ID 80828)

Personnel Hong Kong SFC License Details (ID 80828)

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	Dealing in futures contracts	2016-10-11	2020-09-01
GOLDMAN SACHS (ASIA) L.L.C.	RO	Dealing in securities	2015-01-07	2020-09-01
GOLDMAN SACHS FUTURES (ASIA) LIMITED	RO	Dealing in futures contracts	2015-01-07	2016-10-10
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in securities	2012-04-27	2014-05-08
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Providing automated trading services	2009-02-20	2014-05-08
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2007-11-28	2015-01-07
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2005-08-22	2015-01-07
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in securities	2003-10-06	2005-02-07
MACQUARIE CAPITAL LIMITED	Rep	Advising on corporate finance	-	2003-08-11
	Rep	Advising on securities	-	2003-08-11
	Rep	Asset management	-	2003-08-11
	Rep	Providing automated trading services	-	2003-08-12
	Rep	Dealing in securities	-	2003-08-12