Personnel Hong Kong SFC License Details (ID 90760)

Personnel Hong Kong SFC License Details (ID 90760)

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
Jain Global (Hong Kong) Limited	RO	Asset management	2024-06-24	-
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in futures contracts	2016-10-11	2024-02-29
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2014-08-13	2024-02-29
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2014-08-13	2016-10-10
BNP PARIBAS SECURITIES (ASIA) LIMITED	Rep	Dealing in futures contracts	2012-10-01	2014-05-09
	Rep	Dealing in securities	2012-10-01	2014-05-09
NOMURA INTERNATIONAL (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2008-10-10	2012-07-20
	Rep	Dealing in securities	2008-10-10	2012-07-20
LEHMAN BROTHERS ASIA LIMITED	Rep	Dealing in futures contracts	2007-07-16	2008-09-29
	Rep	Dealing in securities	2007-07-16	2008-09-29