Personnel Hong Kong SFC License Details (ID 89306)

Personnel Hong Kong SFC License Details (ID 89306)

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
DEUTSCHE SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2024-11-01	-
PIMCO Asia Limited	Rep	Advising on securities	2022-05-26	2024-05-29
	Rep	Asset management	2022-05-26	2024-05-29
	Rep	Dealing in securities	2022-05-26	2024-05-29
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Providing automated trading services	2019-01-18	2022-02-05
	Rep	Dealing in securities	2019-01-18	2022-02-05
	Rep	Dealing in futures contracts	2016-10-11	2022-02-05
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2016-05-19	2022-02-05
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2016-05-19	2016-10-10
Morgan Stanley Asia Limited	Rep	Providing automated trading services	2011-05-30	2013-09-05
	Rep	Dealing in securities	2011-05-30	2016-02-05
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in futures contracts	2011-05-30	2016-02-05