Personnel Hong Kong SFC License Details (ID 88832)

Personnel Hong Kong SFC License Details (ID 88832)

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.	RO	Advising on corporate finance	2026-05-04	-
	RO	Dealing in securities	2026-05-04	-
	Rep	Dealing in securities	2025-12-29	2026-05-04
	Rep	Advising on corporate finance	2025-12-02	2026-05-04
UBS SECURITIES HONG KONG LIMITED	RO	Advising on corporate finance	2023-11-02	2025-08-29
	Rep	Advising on corporate finance	2020-02-14	2023-11-02
Morgan Stanley Asia Limited	Rep	Advising on corporate finance	2011-08-19	2019-09-12
	Rep	Dealing in securities	2011-08-19	2019-09-12