Personnel Hong Kong SFC License Details (ID 81055)

Personnel Hong Kong SFC License Details (ID 81055)

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
HSBC Global Asset Management (Hong Kong) Limited	Rep	Advising on futures contracts	2026-06-09	-
	Rep	Advising on securities	2024-03-05	-
	Rep	Asset management	2024-03-05	-
	Rep	Dealing in securities	2024-01-23	-
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in futures contracts	2016-10-11	2019-06-01
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Asset management	2016-05-20	2019-06-03
	Rep	Dealing in securities	2011-07-12	2023-09-09
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2011-07-12	2016-10-10
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-07-21	2009-03-11
	Rep	Dealing in securities	2008-02-27	2009-03-11
BEAR STEARNS ASIA LIMITED	Rep	Providing automated trading services	2005-08-22	2007-11-29
	Rep	Dealing in securities	2005-08-22	2007-11-29