Personnel Hong Kong SFC License Details (ID 86013)

Personnel Hong Kong SFC License Details (ID 86013)

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
Sanford C. Bernstein (Hong Kong) Limited	Rep	Dealing in securities	2026-08-17	-
Liquidnet Asia Limited	RO	Providing automated trading services	2024-10-30	2026-05-29
	RO	Dealing in securities	2024-10-30	2026-05-29
	Rep	Providing automated trading services	2022-12-06	2024-10-30
	Rep	Dealing in securities	2022-12-06	2024-10-30
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in futures contracts	2019-06-18	2022-09-08
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2018-05-02	2022-09-08
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Providing automated trading services	2018-05-02	2022-09-08
	Rep	Dealing in securities	2018-05-02	2022-09-08
LOUIS CAPITAL MARKETS (HONG KONG) LIMITED	Rep	Dealing in securities	2010-08-02	2012-08-15
INSTINET PACIFIC LIMITED	Rep	Advising on securities	2004-12-09	2010-08-01
	Rep	Providing automated trading services	2004-12-09	2010-08-01
	Rep	Dealing in securities	2004-12-09	2010-08-01