Personnel Hong Kong SFC License Details (ID 93364)

Personnel Hong Kong SFC License Details (ID 93364)

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	Advising on securities	2025-03-07	-
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in futures contracts	2016-10-11	-
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Asset management	2012-10-04	-
	Rep	Dealing in securities	2012-10-04	-
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2012-10-04	2016-10-10
Credit Agricole Securities (Asia) Limited	Rep	Dealing in securities	2010-11-24	2011-12-05
Merrill Lynch (Asia Pacific) Limited	Rep	Dealing in securities	2007-02-26	2010-07-21
Merrill Lynch Far East Limited	Rep	Dealing in securities	2007-02-26	2010-07-21
MERRILL LYNCH FUTURES (HONG KONG) LIMITED	Rep	Dealing in futures contracts	2007-02-26	2010-07-21
LEHMAN BROTHERS ASIA LIMITED	Rep	Advising on securities	2006-08-03	2007-01-15