SFC licenceholder ADC059 SUEN Ming Chit 孫明哲

Licences

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

Updated: 07 April 2020

Institution Role Licences Start date End date
Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 RO [1] (Dealing in Securities), [4] (Advising on Securities) 11 October 2016
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 RO [1] (Dealing in Securities) 16 December 2011
Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 RO [1] (Dealing in Securities), [4] (Advising on Securities) 16 December 2011 10 October 2016
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 RE [1] (Dealing in Securities) 18 November 2010 16 December 2011
Deutsche Securities Asia Limited 德意志證券亞洲有限公司 RE [1] (Dealing in Securities), [4] (Advising on Securities) 30 March 2004 14 August 2010
Merrill Lynch (Asia Pacific) Limited RE [1] (Dealing in Securities), [4] (Advising on Securities), [6] (Advising on Corporate Finance), [7] (Providing Automated Trading Services), [9] (Asset Management) 01 April 2003 23 March 2004
Merrill Lynch Futures (Hong Kong) Limited RE [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts), [7] (Providing Automated Trading Services), [9] (Asset Management) 01 April 2003 23 March 2004