Personnel Hong Kong SFC License Details (ID 81121)

Personnel Hong Kong SFC License Details (ID 81121)

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
Moody's Investors Service Hong Kong Limited	Rep	Providing credit rating services	2018-10-12	2019-07-26
Morgan Stanley Asia Limited	Rep	Dealing in securities	2016-10-19	2018-08-17
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in futures contracts	2016-10-19	2018-08-17
HARVEST GLOBAL INVESTMENTS LIMITED	Rep	Advising on securities	2016-07-19	2016-09-09
	Rep	Asset management	2016-07-19	2016-09-09
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Advising on securities	2010-08-17	2016-04-22
	Rep	Dealing in securities	2010-08-17	2016-04-22