SFC licenceholder AHA220 PARADISE James Richard

Licences

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

Updated: 03 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) 16 September 2019
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 RO [4] (Advising on Securities), [5] (Advising on Futures Contracts) 27 December 2017
Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 RO [5] (Advising on Futures Contracts), [7] (Providing Automated Trading Services) 27 December 2017
Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 RO [1] (Dealing in Securities), [2] (Dealing in Futures Contracts), [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) 13 July 2012
Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 RO [1] (Dealing in Securities), [4] (Advising on Securities) 13 July 2012 10 October 2016
Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 RO [2] (Dealing in Futures Contracts) 13 July 2012 10 October 2016
Goldman Sachs (Asia) Securities Limited 高盛(亞洲)證券有限公司 RE [1] (Dealing in Securities), [4] (Advising on Securities) 17 February 2012 13 July 2012
Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 RE [2] (Dealing in Futures Contracts) 17 February 2012 13 July 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 July 2012
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 12 October 2004