Personnel Hong Kong SFC License Details (ID 89339)

Personnel Hong Kong SFC License Details (ID 89339)

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	Dealing in futures contracts	2016-10-11	2025-07-03
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2014-05-26	2025-07-03
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2014-05-26	2016-10-10
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in futures contracts	2010-12-06	2014-02-12
Morgan Stanley Asia Limited	Rep	Providing automated trading services	2010-06-28	2013-09-05
	Rep	Dealing in securities	2010-06-28	2014-02-12
Morgan Stanley Hong Kong Futures Limited	Rep	Providing automated trading services	2010-06-28	2010-12-06
	Rep	Dealing in futures contracts	2010-06-28	2010-12-06
LEHMAN BROTHERS SECURITIES ASIA LIMITED	Rep	Dealing in securities	2006-05-26	2007-03-19
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in securities	2006-03-20	2007-03-19