Personnel Hong Kong SFC License Details (ID 88865)

Personnel Hong Kong SFC License Details (ID 88865)

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	Providing automated trading services	2016-10-11	2022-06-01
	Rep	Dealing in futures contracts	2016-10-11	2022-06-01
	Rep	Dealing in securities	2016-10-11	2022-06-01
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2015-08-26	2022-06-01
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Providing automated trading services	2015-08-26	2016-10-10
	Rep	Dealing in securities	2015-08-26	2016-10-10
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2015-08-26	2016-10-10
Morgan Stanley Asia Limited	Rep	Advising on futures contracts	2013-08-06	2014-04-16
	Rep	Advising on securities	2013-08-06	2014-04-16
Morgan Stanley Hong Kong Securities Limited	Rep	Providing automated trading services	2013-07-24	2014-08-04
	Rep	Dealing in futures contracts	2010-12-06	2014-08-04
Morgan Stanley Asia Limited	Rep	Providing automated trading services	2006-09-11	2013-07-24
	Rep	Dealing in securities	2006-09-11	2014-08-04
Morgan Stanley Hong Kong Futures Limited	Rep	Providing automated trading services	2006-09-11	2010-12-06
	Rep	Dealing in futures contracts	2006-09-11	2010-12-06
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in securities	2006-09-11	2014-08-04
ETRADE SECURITIES (HONG KONG) LIMITED	Rep	Advising on securities	2004-07-15	2006-08-11