Personnel Hong Kong SFC License Details (ID 83277)

Personnel Hong Kong SFC License Details (ID 83277)

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	Advising on securities	2025-09-22	-
	Rep	Asset management	2025-03-11	-
	Rep	Dealing in securities	2025-03-11	-
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in futures contracts	2025-03-11	-
HSBC SECURITIES BROKERS (ASIA) LIMITED	Rep	Dealing in securities	2011-01-24	2013-10-01
Credit Suisse (Hong Kong) Limited	Rep	Providing automated trading services	2010-09-14	2010-10-11
	Rep	Advising on corporate finance	2010-05-05	2010-09-07
	Rep	Advising on securities	2010-05-05	2010-09-07
	Rep	Dealing in securities	2010-05-05	2010-10-11