Personnel Hong Kong SFC License Details (ID 81255)

Personnel Hong Kong SFC License Details (ID 81255)

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	Rep	Dealing in futures contracts	2016-10-11	-
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Providing automated trading services	2009-03-24	2014-10-10
	Rep	Dealing in securities	2008-08-26	-
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2008-08-26	2016-10-10
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on futures contracts	2007-10-15	2008-07-28
	Rep	Dealing in futures contracts	2007-10-15	2008-07-28
	Rep	Advising on securities	2007-05-17	2008-07-28
	Rep	Dealing in securities	2007-05-17	2008-07-28
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2005-03-31	2005-06-15
	Rep	Dealing in securities	2004-06-01	2005-06-15