Personnel Hong Kong SFC License Details (ID 81435)

Personnel Hong Kong SFC License Details (ID 81435)

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) L.L.C.	Rep	Asset management	2017-10-17	-
	Rep	Dealing in securities	2017-10-17	-
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in futures contracts	2017-10-17	-
CAITONG INTERNATIONAL SECURITIES CO., LIMITED	Rep	Dealing in securities	2017-01-06	2017-09-18
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Advising on corporate finance	2003-04-01	2004-10-12
	Rep	Advising on securities	2003-04-01	2004-10-12
	Rep	Asset management	2003-04-01	2004-10-12
	Rep	Dealing in securities	2003-04-01	2016-06-29
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Advising on corporate finance	2003-04-01	2004-10-12
	Rep	Advising on securities	2003-04-01	2004-10-12
	Rep	Asset management	2003-04-01	2004-10-12
	Rep	Dealing in securities	2003-04-01	2016-06-29