Personnel Hong Kong SFC License Details (ID 87893)

Personnel Hong Kong SFC License Details (ID 87893)

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) SECURITIES LIMITED	Rep	Dealing in futures contracts	2016-10-11	2017-03-14
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2015-06-25	2017-03-14
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2015-06-25	2016-10-10
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Dealing in securities	2013-10-25	2015-01-30
	Rep	Dealing in securities	2013-03-05	2013-03-20
BOCI SECURITIES LIMITED	Rep	Advising on securities	2012-07-17	2013-02-04
	Rep	Dealing in futures contracts	2012-07-17	2013-02-04
	Rep	Dealing in securities	2012-07-17	2013-02-04
Merrill Lynch Far East Limited	Rep	Dealing in futures contracts	2010-09-06	2012-03-20
	Rep	Dealing in securities	2007-07-30	2012-03-20
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2007-07-30	2010-09-06
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2006-07-13	2012-03-20