Personnel Hong Kong SFC License Details (ID 81202)

Personnel Hong Kong SFC License Details (ID 81202)

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) L.L.C.	RO	Asset management	2019-09-16	2021-02-08
	RO	Advising on futures contracts	2017-12-27	2021-02-08
	RO	Advising on securities	2017-12-27	2021-02-08
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	RO	Advising on futures contracts	2017-12-27	2021-02-08
	RO	Providing automated trading services	2017-12-27	2021-02-08
	RO	Advising on securities	2016-10-11	2021-02-08
	RO	Dealing in futures contracts	2016-10-11	2021-02-08
	RO	Dealing in securities	2016-10-11	2021-02-08
GOLDMAN SACHS (ASIA) L.L.C.	RO	Dealing in securities	2012-07-13	2021-02-08
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	RO	Advising on securities	2012-07-13	2016-10-10
	RO	Dealing in securities	2012-07-13	2016-10-10
GOLDMAN SACHS FUTURES (ASIA) LIMITED	RO	Dealing in futures contracts	2012-07-13	2016-10-10
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Advising on securities	2012-02-17	2012-07-13
	Rep	Dealing in securities	2012-02-17	2012-07-13
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2012-02-17	2012-07-13
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Advising on corporate finance	-	2004-10-12
	Rep	Advising on securities	-	2004-10-12
	Rep	Asset management	-	2004-10-12
	Rep	Dealing in securities	-	2012-07-13