Personnel Hong Kong SFC License Details (ID 89369)

Personnel Hong Kong SFC License Details (ID 89369)

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	2022-04-29
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Asset management	2015-11-26	2022-04-29
	Rep	Dealing in securities	2015-11-26	2022-04-29
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2015-11-26	2016-10-10
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in futures contracts	2010-12-06	2013-01-15
Morgan Stanley Asia Limited	Rep	Asset management	2007-12-03	2013-01-15
Morgan Stanley Hong Kong Futures Limited	Rep	Dealing in futures contracts	2007-08-15	2010-12-06
Morgan Stanley Asia Limited	Rep	Advising on corporate finance	-	2004-02-11
	Rep	Providing automated trading services	-	2004-02-11
	Rep	Advising on securities	-	2007-06-21
	Rep	Dealing in securities	-	2013-01-15