Personnel SFC Licences and HKMA Registrations (ID 81361)

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
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Dealing in futures contracts	2016-11-02	-
	Rep	Dealing in securities	2016-10-03	-
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2010-05-18	2014-06-25
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2010-05-18	2014-06-25
LEHMAN BROTHERS ASIA LIMITED	Rep	Advising on securities	2007-12-21	2008-03-13

HKMA registrations

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

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