Personnel SFC Licences and HKMA Registrations (ID 81394)

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	Dealing in securities	2026-08-19	-
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	RO	Dealing in futures contracts	2026-08-19	-
	Rep	Advising on futures contracts	2016-10-11	2026-06-29
	Rep	Dealing in futures contracts	2016-10-11	2026-08-19
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Advising on futures contracts	2011-06-08	2026-06-29
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Advising on futures contracts	2011-06-08	2016-10-10
	Rep	Dealing in futures contracts	2009-05-12	2016-10-10
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2004-07-20	2026-08-19
BARCLAYS CAPITAL ASIA LIMITED	Rep	Advising on corporate finance	2003-11-14	2004-07-16
	Rep	Dealing in securities	2003-11-14	2004-07-16

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.