Personnel Hong Kong SFC License Details (ID 89624)

Personnel Hong Kong SFC License Details (ID 89624)

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
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Dealing in futures contracts	2014-11-14	2017-12-01
	Rep	Providing automated trading services	2014-04-28	2015-11-30
	Rep	Dealing in securities	2014-04-28	2017-12-01
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in futures contracts	2010-12-06	2013-01-14
Morgan Stanley Asia Limited	Rep	Providing automated trading services	2008-03-03	2013-01-14
	Rep	Dealing in securities	2008-03-03	2013-01-14
Morgan Stanley Hong Kong Futures Limited	Rep	Providing automated trading services	2008-03-03	2010-12-06
	Rep	Dealing in futures contracts	2008-03-03	2010-12-06
Morgan Stanley Hong Kong Securities Limited	Rep	Dealing in securities	2008-03-03	2013-01-14
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2006-06-23	2008-01-29
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2006-06-23	2008-01-29
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Advising on securities	2004-01-16	2004-12-08
	Rep	Advising on securities	2003-07-30	2003-10-29
	Rep	Dealing in securities	2003-07-30	2003-10-29