SFC licenceholder ACZ589 LO Tak Shun, Dixon 勞德舜

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 RE [9] (Asset Management) 04 January 2017
Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 RE [2] (Dealing in Futures Contracts) 04 January 2017
Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 RE [2] (Dealing in Futures Contracts) 11 February 2008 13 September 2014
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 RE [1] (Dealing in Securities) 11 February 2008 13 September 2014
Kaiser Securities Limited 嘉信証券有限公司 RE [1] (Dealing in Securities) 23 February 2004 16 January 2008
Kaiser Futures Limited 嘉信期貨有限公司 RE [2] (Dealing in Futures Contracts) 23 February 2004 16 January 2008
Hong Kong International Securities Limited 香港國際證券有限公司 RE [1] (Dealing in Securities) 01 April 2003 02 February 2004
Hong Kong International Futures Limited 香港國際期貨有限公司 RE [2] (Dealing in Futures Contracts) 01 April 2003 02 February 2004
Hong Kong International Securities Limited 香港國際證券有限公司 RE [4] (Advising on Securities), [6] (Advising on Corporate Finance), [9] (Asset Management) 01 April 2003 10 January 2004
Hong Kong International Futures Limited 香港國際期貨有限公司 RE [5] (Advising on Futures Contracts), [9] (Asset Management) 01 April 2003 10 January 2004