Personnel SFC Licences and HKMA Registrations (ID 81325)

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
Morgan Stanley Asia Limited	Rep	Dealing in securities	2017-10-23	-
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in futures contracts	2017-10-23	2021-09-01
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in futures contracts	2016-10-11	2017-07-21
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2008-08-25	2017-07-21
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2008-08-25	2016-10-10

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.