Personnel Hong Kong SFC License Details (ID 90373)

Personnel Hong Kong SFC License Details (ID 90373)

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
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2022-02-08	2025-09-16
	Rep	Dealing in securities	2022-02-08	2025-09-16
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in futures contracts	2016-10-11	2021-10-23
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2015-09-11	2021-10-23
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2015-09-11	2016-10-10
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-10-09	2015-08-07
	Rep	Dealing in securities	2008-10-09	2015-08-07
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in futures contracts	2008-05-19	2008-09-29
	Rep	Dealing in securities	2008-05-19	2008-09-29