Personnel Hong Kong SFC License Details (ID 81150)

Personnel Hong Kong SFC License Details (ID 81150)

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
MILLENNIUM CAPITAL MANAGEMENT (HONG KONG) LIMITED	Rep	Asset management	2022-10-21	2026-08-18
J.P. MORGAN SECURITIES (FAR EAST) LIMITED	Rep	Advising on securities	2019-03-18	2022-04-13
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on futures contracts	2019-02-14	2022-04-13
	Rep	Dealing in futures contracts	2019-02-14	2022-04-13
J.P. MORGAN SECURITIES (FAR EAST) LIMITED	Rep	Dealing in securities	2019-02-14	2022-04-13
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Advising on futures contracts	2016-10-11	2018-08-03
	Rep	Dealing in futures contracts	2016-10-11	2018-08-03
	Rep	Dealing in securities	2016-10-11	2018-08-03
	Rep	Dealing in securities	2012-04-27	2016-10-10
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Advising on futures contracts	2011-06-22	2018-08-03
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Advising on futures contracts	2011-06-22	2016-10-10
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2010-08-23	2018-08-03
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2010-08-23	2016-10-10