Personnel SFC Licences and HKMA Registrations (ID 89290)

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
Complus Asset Management Limited	Rep	Asset management	2020-01-14	-
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2017-05-25	2019-09-28
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in futures contracts	2017-05-25	2019-09-28
Morgan Stanley Asia Limited	Rep	Advising on securities	2014-06-16	2016-05-27
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in futures contracts	2014-04-29	2014-06-16
Morgan Stanley Asia Limited	Rep	Providing automated trading services	2010-02-03	2013-09-05
	Rep	Dealing in securities	2010-02-03	2016-05-27

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.