Personnel SFC Licences and HKMA Registrations (ID 81406)

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
Jefferies Hong Kong Limited	RO	Dealing in securities	2024-04-16	-
	Rep	Dealing in securities	2024-02-01	2024-04-16
Morgan Stanley Asia Limited	RO	Dealing in securities	2020-11-23	2023-10-25
Morgan Stanley Hong Kong Securities Limited	RO	Dealing in futures contracts	2020-11-23	2023-10-25
Morgan Stanley Asia Limited	Rep	Dealing in securities	2020-08-03	2020-11-23
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in futures contracts	2020-08-03	2020-11-23
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in futures contracts	2016-10-11	2020-05-06
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2007-09-21	2020-05-06
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2007-09-21	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.