Personnel Hong Kong SFC License Details (ID 89700)

Personnel Hong Kong SFC License Details (ID 89700)

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) L.L.C.	Rep	Dealing in securities	2022-08-18	-
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in futures contracts	2022-08-18	-
	Rep	Dealing in securities	2022-08-18	-
Credit Suisse (Hong Kong) Limited	Rep	Dealing in futures contracts	2019-01-21	2022-07-29
	Rep	Dealing in securities	2019-01-21	2022-07-29
Credit Suisse Securities (Hong Kong) Limited	Rep	Dealing in securities	2019-01-21	2022-07-29
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2014-01-13	2018-10-04
	Rep	Dealing in securities	2014-01-13	2018-10-04
Morgan Stanley Hong Kong Securities Limited	Rep	Providing automated trading services	2013-07-24	2013-09-13
	Rep	Dealing in futures contracts	2010-12-06	2013-09-13
	Rep	Dealing in securities	2007-08-15	2013-09-13
Morgan Stanley Asia Limited	Rep	Providing automated trading services	2006-09-22	2013-07-24
	Rep	Dealing in securities	2006-09-22	2013-09-13
Morgan Stanley Hong Kong Futures Limited	Rep	Providing automated trading services	2006-09-22	2010-12-06
	Rep	Dealing in futures contracts	2006-09-22	2010-12-06