Personnel Hong Kong SFC License Details (ID 89808)

Personnel Hong Kong SFC License Details (ID 89808)

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
Morgan Stanley Asia Limited	RO	Advising on securities	2024-12-04	-
	RO	Asset management	2024-12-04	-
	RO	Dealing in securities	2024-12-04	-
	Rep	Advising on securities	2016-04-27	2024-12-04
	Rep	Asset management	2009-08-12	2024-12-04
	Rep	Advising on corporate finance	2005-03-24	2009-02-06
	Rep	Dealing in securities	2005-03-24	2024-12-04
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Advising on securities	2003-04-01	2004-10-12
	Rep	Asset management	2003-04-01	2004-10-12
	Rep	Advising on corporate finance	2003-04-01	2005-03-03
	Rep	Dealing in securities	2003-04-01	2005-03-03