SFC licenceholder ACZ192 YIM Nic Wan 嚴力耘

Licences

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Updated: 08 April 2020

Institution Role Licences Start date End date
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 RO [9] (Asset Management) 14 July 2017
Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 RO [2] (Dealing in Futures Contracts) 11 October 2016
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 RO [1] (Dealing in Securities), [4] (Advising on Securities) 13 March 2012
Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 RO [2] (Dealing in Futures Contracts) 13 March 2012 10 October 2016
Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 RE [2] (Dealing in Futures Contracts) 01 April 2003 13 March 2012
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 RE [1] (Dealing in Securities) 01 April 2003 13 March 2012
Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 RE [5] (Advising on Futures Contracts), [9] (Asset Management) 01 April 2003 13 October 2004
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 RE [4] (Advising on Securities), [6] (Advising on Corporate Finance), [9] (Asset Management) 01 April 2003 13 October 2004