Personnel Hong Kong SFC License Details (ID 96928)

Personnel Hong Kong SFC License Details (ID 96928)

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
CLSA LIMITED	Rep	Dealing in securities	2016-01-18	2019-02-22
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2011-01-18	2015-10-14
	Rep	Dealing in securities	2011-01-18	2015-10-14
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in securities	2011-01-18	2015-10-14
Segantii Capital Management Limited	Rep	Asset management	2010-08-19	2010-10-05
EFG Asset Management (HK) Limited	Rep	Advising on securities	2009-06-23	2010-06-30
	Rep	Asset management	2009-06-23	2010-06-30
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Providing automated trading services	2009-02-20	2009-02-27
	Rep	Dealing in securities	2005-04-13	2009-02-27
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2005-04-13	2009-02-27