Personnel SFC Licences and HKMA Registrations (ID 84257)

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	Dealing in securities	2024-11-19	-
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in futures contracts	2024-11-19	-
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2021-06-09	2021-07-05
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2021-06-09	2021-07-05
	Rep	Dealing in securities	2021-06-09	2021-07-05
J.P. MORGAN BROKING (HONG KONG) LIMITED	Rep	Advising on futures contracts	2014-03-24	2019-09-30
	Rep	Dealing in futures contracts	2014-03-24	2019-09-30
	Rep	Advising on futures contracts	2012-08-17	2014-03-16
	Rep	Dealing in futures contracts	2012-08-17	2014-03-16
	Rep	Advising on securities	2006-07-17	2014-03-16
	Rep	Dealing in securities	2006-07-17	2014-03-16
BEAR STEARNS ASIA LIMITED	Rep	Advising on securities	2005-03-03	2006-07-01
	Rep	Dealing in securities	2005-03-03	2006-07-01

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.