SFC licenceholder AKS922 SHEREN Peter Jay

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 RE [2] (Dealing in Futures Contracts) 11 October 2016
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 RE [7] (Providing Automated Trading Services) 24 March 2009 10 October 2014
Goldman Sachs (Asia) L.L.C. 高盛(亞洲)有限責任公司 RE [1] (Dealing in Securities) 26 August 2008
Goldman Sachs Futures (Asia) Limited 高盛期貨(亞洲)有限公司 RE [2] (Dealing in Futures Contracts) 26 August 2008 10 October 2016
J.P. Morgan Broking (Hong Kong) Limited RE [2] (Dealing in Futures Contracts), [5] (Advising on Futures Contracts) 15 October 2007 28 July 2008
J.P. Morgan Broking (Hong Kong) Limited RE [1] (Dealing in Securities), [4] (Advising on Securities) 17 May 2007 28 July 2008
UBS Securities Asia Limited RE [2] (Dealing in Futures Contracts) 31 March 2005 15 June 2005
UBS Securities Asia Limited RE [1] (Dealing in Securities) 01 June 2004 15 June 2005