Personnel Hong Kong SFC License Details (ID 88645)

Personnel Hong Kong SFC License Details (ID 88645)

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
KKR Capital Markets Asia II Limited	RO	Advising on securities	2024-05-14	-
	RO	Dealing in securities	2024-05-14	-
KKR CAPITAL MARKETS ASIA LIMITED	RO	Advising on securities	2022-11-16	-
	RO	Asset management	2022-11-16	-
	RO	Dealing in securities	2022-11-16	-
	Rep	Advising on securities	2020-04-27	2022-11-16
	Rep	Dealing in securities	2020-04-27	2022-11-16
GOLDMAN SACHS (ASIA) L.L.C.	RO	Advising on corporate finance	2013-09-02	2019-03-23
	RO	Dealing in securities	2013-09-02	2019-03-23
	Rep	Advising on corporate finance	2013-06-14	2013-09-02
	Rep	Dealing in securities	2013-06-14	2013-09-02
Morgan Stanley Asia Limited	RO	Advising on corporate finance	2011-03-15	2013-03-07
	RO	Dealing in securities	2011-03-15	2013-03-07
	Rep	Advising on securities	2003-04-01	2004-02-11
	Rep	Providing automated trading services	2003-04-01	2004-02-11
	Rep	Advising on corporate finance	2003-04-01	2011-03-15
	Rep	Dealing in securities	2003-04-01	2011-03-15