Personnel Hong Kong SFC License Details (ID 81223)

Personnel Hong Kong SFC License Details (ID 81223)

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	Providing automated trading services	2023-08-15	-
GOLDMAN SACHS (ASIA) L.L.C.	RO	Dealing in securities	2020-10-14	-
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	RO	Dealing in securities	2020-10-14	-
	Rep	Dealing in futures contracts	2016-10-11	-
	Rep	Dealing in securities	2016-10-11	2020-10-14
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2011-08-16	2020-10-14
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in securities	2011-08-16	2016-10-10
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2011-08-16	2016-10-10
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2009-05-25	2011-05-06
	Rep	Dealing in securities	2009-05-25	2011-05-06